A CRISIS MANAGEMENT FRAMEWORK

FOR INTERPOL
TO MANAGE TRANSNATIONAL DISASTERS

Jose Helano Matos Nogueira

DBA

University of Liverpool

2016
 A CRISIS MANAGEMENT FRAMEWORK
FOR INTERPOL
TO MANAGE TRANSNATIONAL DISASTERS

Thesis submitted in accordance with the requirements of the

University of Liverpool for the degree of Doctor of Business
Administration by Jose Helano Matos Nogueira

University of Liverpool

2016

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 ABSTRACT

A crisis management framework for INTERPOL to manage

transnational disasters
Jose Helano Matos Nogueira

The number of disasters over the past fourteen years (2000-2014) has already exceeded
the number of disasters that occurred over the entire decades of the 1970s, 1980s, 1990s.
It is estimated that the number of deaths in disasters over the past ten years (2004-2014)
has already exceeded the number of deaths that occurred over the previous twenty years
(1984 -2004). The total economic damage of disasters over the past ten years (2004-2014)
has also already exceeded the damage of disasters that occurred over the previous twenty
years (1984 -2004). Transnational disasters may be even more complex because they
involve various aspects such as number of countries affected, number of victims, socio-
economic aspects, geo-political factors, legal jurisdiction, cultural differences, and the
coordination of multiple agencies. In this arena, INTERPOL plays a crucial role since it
is the world’s largest international police organisation and a leader in disaster
management engaging its 190 member countries and developing a command and control
role within the international disaster networks around the globe. Consequently, it
becomes crucial to create frameworks to manage transnational disasters.

However, up to now INTERPOL does not have a framework to manage transnational

disasters under its auspices. Therefore, the main objective of this thesis is to fill this gap
and build a crisis management framework for INTERPOL when working with
transnational disasters. This thesis is based on case studies: tsunami in the Indian Ocean
in 2004; Air France air crash in Brazil in 2009. It was carried out an analysis across cases
to figure out similarities and differences in order to identify behaviour patterns (key
factors) and use them as a common framework for analogous cases. The key factors
affecting all phases of transnational disasters at INTERPOL are as follows: (1)
Governance; (2) Service; (3) Resource; (4) Multi-agency Network; (5) Stakeholder; (6)
Finance; (7) Barrier; (8) Facilitator. The studies of the cases also identified the main
barriers to, and facilitators of effective multi-agency working and transnational
cooperation at INTERPOL.

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The main purpose of this thesis was not to produce a general theory about disasters,
although one may emerge incidentally, but to create and use a crisis management
framework (called CMF) for the understanding and management of transnational
disasters under the auspices of INTERPOL. CMF was compared with other existing
international frameworks developed in the research and international organisations. The
result of this comparison proved that CMF was the most complete. The study of CMF’s
impacts also revealed that it affects all levels of management at INTERPOL: individual,
departmental and organisational. In order to ratify the practical use of CMF, this thesis
created an information system called CRIMAFIS. It a business intelligence system based
on Artificial Intelligence (AI) techniques that uses the themes and codes emerged from
data analysis and provides relevant information upon transnational disasters. Ultimately,
this thesis made forty-two recommendations for INTERPOL to increase and enhance its
crisis and disaster management capability.

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 ACKNOWLEDGEMENTS
I would like to thank my supervisor, Professor Dr Dominic Elliott, for all his guidance,
help, and support throughout my DBA studies and during writing this thesis. I also wish
to thank my office colleagues at INTERPOL, for their support and for creating a nice and
friendly environment of research and work.

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 DEDICATION

I want to dedicate this thesis to

My mother and my father (in memoriam)

who have struggled with me since my very first day on the planet and who always have
inspired me with love and wisdom.

My wife
for her understanding and support during the time spent away from home.

My baby Gabriel
for his smile when I was very tired

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 TABLE OF CONTENTS
Chapter 1 Introduction .............................................................................................. 15
1.1 Overview ..........................................................................................................................15
1.2 Workplace-based problem ................................................................................................18
1.3 Research context ..............................................................................................................19
1.4. Research questions ..........................................................................................................20
1.5. Objectives ........................................................................................................................20
1.6. Contributions and benefits ...............................................................................................21
1.7 Key terms .........................................................................................................................23
1.7.1 Crisis .........................................................................................................................23
1.7.2 Disaster ......................................................................................................................29
1.7.3 Transnational disaster ................................................................................................35
1.7.4 General secretariat (GS) ............................................................................................37
1.7.5 General assembly (GA) .............................................................................................37
1.7.6 National central bureau (NCB) ..................................................................................37
1.7.7 Regional bureau .........................................................................................................37
1.7.8 Framework ................................................................................................................37
1.8. Thesis outline ..................................................................................................................39
1.9. Conclusion ......................................................................................................................40
Chapter 2 Conceptual Development and Literature Review ..................................... 41
2.1 Introduction ......................................................................................................................41
2.2 Crisis management ...........................................................................................................43
2.3 Disaster management .......................................................................................................46
2.3.1 Origins of disaster management ................................................................................46
2.3.2 Different approaches to disaster management ...........................................................47
2.3.3 Difference between DM and CM...............................................................................48
2.3.4 Disaster management phases .....................................................................................49
2.4 Multi-agency network ......................................................................................................51
2.5 Transnational cooperation ................................................................................................55
2.5.1 Overview ...................................................................................................................55
2.5.2 Transnational cooperation in the police context ........................................................56
2.5.3 Operationalization of transnational cooperation through disaster teams ....................57
2.5.4 Barriers to effective transnational cooperation in disasters ........................................59
2.5.5 Facilitators to effective transnational cooperation in disasters ...................................60
2.6 Conclusion .......................................................................................................................62

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Chapter 3 Methodology............................................................................................. 64
3.1 Introduction ......................................................................................................................64
3.2 Philosophical scaffolding .................................................................................................64
3.2.1 Ontology ....................................................................................................................65
3.2.2 Epistemology .............................................................................................................66
3.2.3 Modes of research .....................................................................................................66
3.2.4 Modes of reasoning ...................................................................................................67
3.2.5 Modes of inquiry .......................................................................................................67
3.3 Research design ................................................................................................................68
3.3.1 Preparedness and general considerations ...................................................................68
3.3.2 Research strategy .......................................................................................................70
3.3.3 Data collection ...........................................................................................................71
3.4 Data interpretation ............................................................................................................80
3.5 Data triangulation .............................................................................................................83
3.6 Ethical considerations.......................................................................................................84
3.7 Conclusion .......................................................................................................................86
Chapter 4 Crisis Management Framework................................................................ 88
4.1 Introduction ......................................................................................................................88
4.2 Data analysis ....................................................................................................................89
4.2.1 Notation used in this data analysis .............................................................................98
4.2.2 Cross-case analysis ..................................................................................................112
4.2.3 Research generalizability .........................................................................................118
4.3 Static CMF .....................................................................................................................119
4.4 Dynamic CMF ................................................................................................................120
4.4.1 Relationships among categories in CMF .................................................................120
4.4.2 Relationships between themes and concepts in CMF ..............................................123
4.5 Conclusion .....................................................................................................................135
Chapter 5 Findings and Discussions ....................................................................... 137
5.1 Introduction ....................................................................................................................137
5.2 Priorities for action .........................................................................................................137
5.3 Recommendations ..........................................................................................................139
5.4 CMF information system (CRIMAFIS) .........................................................................147
5.4.1 Overview .................................................................................................................147
5.4.2 Data management model .........................................................................................148
5.4.3 Intelligent information system .................................................................................152
5.5. Impact of CMF ..............................................................................................................154

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 5.6.1 Individual impact .....................................................................................................155
5.6.2 Departmental impact ...............................................................................................156
5.6.3 Organisational impact ..............................................................................................158
5.7 Conclusion .....................................................................................................................162
Chapter 6 Conclusion .............................................................................................. 164
References .................................................................................................................... 167
Appendix A – Access and permissions ........................................................................ 174
Appendix B – Interview form ....................................................................................... 175
Appendix C – Examples of transcripts and field notes ................................................ 176

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 LIST OF FIGURES
Figure 1.1 – Total number of reported disasters between 1974 and 2014 ………………….….15
Figure 1.2 – Total of depths caused by reported disasters between 1984 and 2014 ………...…16
Figure 1.3 – Total of economic damage by reported disasters between 1984 and 2014……….16
Figure 1.4 – FBS for 11 key elements found in crisis definitions …………………………..….28
Figure 1.5 – Crisis and its key elements ………………………………………………………..29
Figure 1.6 – The relationship between needs and response capacity in a disaster situation …...33
Figure 1.7 – The two-dimensional classification of disaster according to INTERPOL ………..34
Figure 2.1 – Conceptual development in this doctoral research …………………….…………42
Figure 2.2 – Disaster management cycle ……………………………………………….……....50
Figure 2.3 – An example of INTERPOL multi-agency network for transnational disasters ......53
Figure 3.1 – Ontological perspective …………………………………………………………...65
Figure 3.2 – Epistemological position ………………………………………………………….66
Figure 3.3 – Mode of research ………………………………………………………………….66
Figure 3.4 – Mode of reasoning ………………………………………………………………..67
Figure 3.5 – Mode of inquiry …………………………………………………………………..67
Figure 3.6 – Data collection process developed to multiple case studies ……………………...71
Figure 3.7 – Case 1: Tsunami in the Indian Ocean ……………………………….....................73
Figure 3.8 – Case 2: Air crash of Air France flight 447 ……………………………..................74
Figure 3.9 – Data storage protocol ……………………………………………………..............80
Figure 3.10 – Investigative sequence of data interpretation ……………………………………81
Figure 3.11 – Data triangulation using axial coding ………………………………….………..83
Figure 4.1 – Hierarchical diagram with similarities found in cross-case analysis ……………117
Figure 4.2 – Visual schema representing the static CMF …………………………….……….120
Figure 4.3 – Relationships among CMF and its categories ……………………….…..............122
Figure 4.4 – Relationships between the theme governance and its concepts …….…………...124
Figure 4.5 –Relationships between the theme service and its concepts ………………………126
Figure 4.6 – Relationships between the theme resource and its concepts …………………….128
Figure 4.7 – Relationships between the theme multi-agency network and its concepts ……...129
Figure 4.8 – Relationships between the theme stakeholder and its concepts …………………131
Figure 4.9 – Relationships between the theme finance and its concepts ……………………...132
Figure 4.10 – Relationships between the theme barrier and its concepts ……………………..134

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Figure 4.11 – Relationships between the theme facilitator and its concepts ………………….135
Figure 5.1 – Priorities for action ………………………………………………………………138
Figure 5.2 – Data modeling for CMF and its databases ………………………………………151
Figure 5.3 – The relational database schema implemented for CMF …………………………151
Figure 5.4 – The ontology implemented in CRIMAFIS ……………………………………...153
Figure 5.5 – The use of CRIMAFIS for INTERPOL to manage transnational disasters ..........154

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 LIST OF TABLES
Table 1.1 – Some transnational disasters with full engagement of INTERPOL teams ………..17
Table 1.2 – Key elements used in crisis definitions according to different authors/sources …...25
Table 1.3 – Key elements of crisis distributed by source and frequency ………………………27
Table 1.4 – Two-dimensional matrix of disasters with more than 30 examples according to
INTERPOL classification ………………………………………………………………………35
Table 2.1 – Barriers to build multi-agency networks for transnational disasters ………………54
Table 2.2 – Facilitators to develop transnational cooperation in disasters by level of
management …………………………………………………………………………………….61
Table 3.1 – Phases to build the theoretical and philosophical scaffolding ……………………..65
Table 3.2 – Method of data collection by participant …………………………………..............77
Table 3.3 – Method of data collection by physical artefact ……………………………………79
Table 3.4 – Ethical issues ………………………………………………………………………85
Table 4.1– Case 1: Tsunami in the Indian Ocean ……………………………………………..100
Table 4.2 – Case 2: Air crash of Air France flight 447 ……………………………………….106
Table 4.3 – Within-case and cross-case analyses ……………………………………………..113
Table 4.4 – Relationships among CMF and its themes ……………………………………….123
Table 4.5 – Relationships between the theme governance and its concepts in CMF …………125
Table 4.6 – Relationships between the theme service and its concepts in CMF ……………...127
Table 4.7 – Relationships between the theme resource and its concepts in CMF …………….128
Table 4.8 – Relationships between the theme multi-agency network and its concepts in CMF
…………………………………………………………………………………………………129
Table 4.9 – Relationships between the theme stakeholder and its concepts in CMF …………131
Table 4.10 – Relationships between the theme finance and its concepts in CMF ……………133
Table 4.11 – Relationships between the theme barrier and its concepts in CMF ………….....134
Table 4.12 – Relationships between the theme facilitator and its concepts in CMF ………….135
Table 5.1 – Recommendations for INTERPOL grounded in CMF …………………………...143

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 ABBREVIATIONS AND ACRONYMS
ADPC Asian Disaster Preparedness Center
AMERIPOL American Police Community
ASEANAPOL Association of Southeast Asian Nations
BFP Brazilian Federal Police
BIS Department for Business, Innovation & Skills, Government, UK
BKA Bundeskriminalamt, Germany
BOND Board on Natural Disasters, National Research Council, US
CARICOM Caribbean Community
CBRNE Chemical, Biological, Radiological, Nuclear, and Explosive
CCLD Crabbe Consulting Ltd
CM Crisis Management
CRED Center for Research on the Epidemiology of Disasters
CRIMAFIS CRIsis MAnagement Framework Information System
DM Disaster management
DVI Disaster Victim Identification
EMA Emergency Management in Australia
ENSP Ecole Nationale Supérieure de Police
EUROPOL European Law Enforcement Agency
FBI Federal Bureau of Investigation, US
FEMA Federal Emergency Management Agency, US
FRONTEX European Agency for the Management of Operational Cooperation
at the External Borders of the Member States of the European
GA General Assembly of INTERPOL
GS General Secretariat of INTERPOL
HSA Health Sciences Authority of Singapore
ICAO International Civil Aviation Organization
ICDRM Institute for Crisis, Disaster, and Risk Management
ICMP International Commission on Missing Persons
IFRC International Federation of Red Cross and Red Crescent Societies
IMO International Maritime Organization
INTERPOL International Criminal Police Organisation
IPO International Police Organisation

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ISO International Organization for Standardization
NAUSS Naif Arab University for Security Sciences
NCB National Central Bureau of INTERPOL
RB Regional Bureau of INTERPOL
SADC Southern African Development Community
UKFA United Kingdom Forensic Alliance
UN United Nations
UNDHA United Nations Department of Humanitarian Affairs
UNISDR United Nations International Strategy for Disaster Reduction
UNIVDUN University of Dundee
UoL University of Liverpool

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Chapter 1
Introduction
1.1 Overview

When a major disaster occurs, one country alone may not have sufficient resources,
services, finances, and governance mechanisms to deal with mass casualties.
Transnational disasters may be the most complex involving, potentially, different aspects
such as socio-economic aspects, geo-political factors, legal jurisdiction, cultural
differences, and the coordination of multiple agencies. These aspects can generate
barriers or facilitators in the international cooperation context. A rich picture of the
complexity in managing transnational disasters can be verified by looking at the statistics.
First, the number of disasters over the past fourteen years (2000-2014) has already
exceeded the number of disasters that occurred over the entire decades of the 1970s,
1980s, 1990s (CRED, 2015). See Figure 1.1.

Figure 1.1 – Total number of reported disasters between 1974 and 2014

Second, it is estimated that the number of deaths in disasters over the past ten years (2004-
2014) has already exceeded the number of deaths that occurred over the previous twenty
years, 1984 – 2004 (CRED, 2015). See Figure 1.2.

15
 Figure 1.2 – Total of deaths caused by reported disasters between 1984 and 2014

Third, the economic cost of disasters is another factor that cannot be forgotten. The total
economic damage of disasters over the past ten years (2004-2014) has also already
exceeded the damage of disasters that occurred over the previous twenty years, 1984 -
2004 (CRED, 2015). See Figure 1.3. Indeed, in today’s current global landscape the
detrimental effects on the socio-economic environments compound the problem further.

Figure 1.3 – Total of economic damage by reported disasters between 1984 and 2014

In this arena, INTERPOL plays a crucial role since it is the world’s largest international
police organisation and as a leader in disaster management engaging its 190 member
countries and developing a command and control role within the international disaster
networks around the globe. A coordinated effort by the INTERPOL together with
international disaster community can significantly speed up disaster management,

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enabling affected countries by disasters to bounce back and become more resilient1.
INTERPOL and its member countries have been engaged in major transnational disasters
since its creation in 1914, providing resources, services, finances, and governance
mechanisms to support member countries affected by devastating disasters, mainly after
the creation of its Disaster Unit in 2004 following the tsunami in Indian Ocean. Table 1.1
summarises some of the transnational disasters where the Disaster Unit of INTERPOL
had a full engagement2 of its teams. The aim of the Table 1.1 is to evidence the pluralistic
activity of INTERPOL and how it operates in diversified scenarios, such as natural and
man-made disasters, including those caused by terrorist attacks.

Table 1.1 – Some transnational disasters with full engagement of INTERPOL teams
Transnational Type Place of Year Fatalities
Disaster deployment
Tsunami Natural Disaster Indian Ocean 2004 230,000
Earthquake Natural Disaster Pakistan 2005 87,000
Ferry disaster Man-made Disaster Philippines 2008 800
Air France (AF447) Man-made Disaster Brazil 2009 228
air crash
Earthquake Natural Disaster Haiti 2010 160,000
Terrorist attack Man-made Disaster Uganda 2010 70
(FIFA World Cup)
Ferry disaster Man-made Disaster Tanzania 2012 800
Typhoon Haiyan Natural Disaster Philippines 2013 7000
Terrorist attack Man-made Disaster Kenya 2013 60
(Westgate Mall)
Malaysia Airlines Man-made Disaster Ukraine 2014 298
(MH17) air crash
Germanwings Man-made Disaster French Alps 2015 150
plane crash

1
In the context of this study, resilient means the ability to bounce back or return to
normalcy/equilibrium after the occurrence of a crisis or disaster.
2
Full engagement means that the Incident Response Teams (IRTs) are used to assess and deploy their
activities using all available INTERPOL resources and services to manage the disaster; whilst, in partial
engagement the IRTs are only used to yield risk assessment reports.

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As a result, it becomes crucial to create frameworks to help manage transnational
disasters. However, up until now INTERPOL does not have a framework to manage its
operation in all phases of transnational disasters.

1.2 Workplace-based problem

The lack of a crisis management framework for INTERPOL to manage transnational

disaster.

The absence of a framework has generated several difficulties and obstacles for
INTERPOL in responding to crisis and disaster including: (1) INTERPOL staff have
reported experiencing psychosocial barriers (e.g. nervousness, stress, anxiety,
demotivation, and losses in human potential) during meetings to decide the deployment
of Incident Response Teams (IRTs), the experience of which may be exacerbated by the
absence of an appropriate framework; (2) there are potential conflicts and uncertainties
in governance mechanisms at INTERPOL (e.g. the difficult of identification, assessment,
prioritization, and mobilisation of resources and services from/to 190 member countries);
(3) The absence of a blue print or overarching guide to key factors, key indicators, key
relationships, which INTERPOL personnel can use as a guide to help them make sense
of tasks/issues to deal with when preparing, responding, recovering, and mitigating to
transnational disasters or crisis under aegis of INTERPOL; (4) Potential
misunderstandings about the requirements for essential data and information on the
management of a transnational disaster, that are neither available nor ready to access
generating barriers to create or integrate INTERPOL systems and databases; (5) without
the identification and recognition of the key factors, which are meaningful segments of
information to build a framework, INTERPOL will struggle to develop a shared view nor
a behaviour pattern of their member countries in cases of transnational disasters; (6) the
absence of correct identification about the governance mechanisms available in a
framework has produced difficulties for INTERPOL to manage the vital information
related to the structures, policies, norms, and regulations used in different cases of crises
or disasters; (7) transnational disasters and crises can involve relationships between
different organisations who work together in a multiagency network mobilising resources
and services, sharing information, knowledge, skills, and experiences, and without a
comprehensive framework to recognise these relationships INTERPOL cannot participate

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of multi-agency networks in a more effective way; (8) No international organisation or
country is capable to manage all kind of disasters or crises alone. Therefore, it is crucial
to build a framework in order to identify the main stakeholders that have interest or
concern in INTERPOL’s success with regard to the management of transnational
disasters; (9) financial uncertainty is a risk and needs to be managed by any kind of
organisation engaged in transnational disaster or crisis. However, the lack of a crisis
management framework, that includes key factors to manage finance arrangements in
cases of transnational disasters, makes the risk management at INTERPOL more complex
and challenging; (10) transnational cooperation can help the world community to more
effectively manage risk reduction and limit the impacts of natural and man-made
disasters. Nonetheless, the absence of a framework for INTERPOL to establish a clear
link between transnational cooperation and its barriers/facilitators makes the management
of disasters at INTERPOL a difficult task.

1.3 Research context

It is important to emphasise this doctoral research is an original study and focus on the
management of real life transnational disasters within the INTERPOL context. The
inclusion criteria to the research cases are different types of disasters, mass fatalities
involving different foreign nationals configuring a transnational disaster, full
participation and development of INTERPOL teams, national interest demonstrated via
request or appeal to INTERPOL, multi-agency cooperation, plentiful amount of data, and
international social repercussions. Therefore, this doctoral research will use the case study
method (Creswell, 2013; Yin, 2009) to investigate two different real cases involving
transnational disasters under umbrella of INTERPOL and according to the inclusion
criteria aforementioned. The rationale to choose the case study as research strategy in this
thesis is shown in Section 3.3.2.

 Case 1: Tsunami in Indian ocean, specifically in Thailand, 2004, about 5,000

fatalities, approximately 2,400 were foreign nationals from 36 different nations,
participation of INTERPOL and different multi-agencies (see details in Chapter 3).

 Case 2: Air France air crash in Brazil, 2009, 228 fatalities, 169 were foreign nationals
from 33 different nations, participation of INTERPOL and different multi-agencies
(see details in Chapter 3).

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1.4. Research questions

Central Question
- What are the key factors to consider in developing a crisis management framework
for INTERPOL in order to support the management of transnational disasters?
Complementary questions
1. What are the governance mechanisms adopted by INTERPOL to manage
transnational disasters?
2. What resources and services does/should INTERPOL mobilise in transnational
disasters?
3. Who are the key stakeholders in cases of transnational disasters?
4. What are the finances and funding arrangements used by INTERPOL in cases of
transnational disasters?
5. How does INTERPOL create formal/explicit and informal/tacit relationships within
the crisis and disaster management?
6. What are the barriers and facilitators to manage transnational disasters under umbrella
of INTERPOL?

1.5. Objectives

The achievement of the objectives will help to address the central and complementary
questions as well as to put in practise the answers to these questions, as follows:

 Understand and critically reflect upon the key terms related to transnational disasters
and their applications within the INTERPOL environment. This objective will help to
clarify what the term transnational disaster means since it takes part of the central
question and complementary questions 1 to 4, and 6.
 Carry out a conceptual development and literature review on core themes that affect
INTERPOL actions in the transnational scenario. This objective will help to build a
conceptual base to better understand how INTERPOL manages transnational disaster
taking into account relevant aspects such as crisis management, disaster management,
multi-agency network, and transnational cooperation. Therefore, this objective will
help to address the central question and complementary questions 1 to 6.
 Develop a matrix of transnational disasters requiring the intervention of INTERPOL,
based on existing classifications and taxonomies of disasters. This matrix should
assist INTERPOL to manage more effectively its resources and services before,
during, and after a disaster helping to address the complementary question 2.

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 Map out the role of INTERPOL as part of a multi-agency network of crisis
management that connects police forces and other international organisations in the
aftermath of a transnational disaster. Therefore, this objective will help to address the
central question and complementary questions 1, 5, and 6.
 Identify the main barriers to, and facilitators of effective multi-agency working within
the context of transnational disasters. This objective will be crucial to answer the
complementary question 6.
 Cluster the emerging codes into categories (themes). The outcomes will be presented
in tables, schemas, and figures as part of a ‘static’ structure to better understand the
processes by which transnational disasters may be managed. This objective will help
to address the central question and complementary questions 1 to 6.
 Create visual diagrams highlighting the relationships between concepts and categories
that emerged from data analysis. The outcomes will be class diagrams using the
Unified Modeling Language – UML (ISO/IEC, 2012; Nogueira, 2004) as part of
establishing a blue print for a ‘dynamic’ structure to manage transnational disasters
more effectively. This objective will help to address the central question and
complementary questions 1 to 6.
 Create a crisis management framework for INTERPOL to manage transnational
disasters comprised of both ‘static’ and ‘dynamic’ structures. Therefore, this objective
will help to address the central question and complementary questions 1 to 6.
 Critically reflect and present findings and discussions to INTERPOL based on the
proposed crisis management framework and its priorities for action. This objective
will help to put in practise the answers of the central questions and complementary
questions 1 to 6.
 Propose recommendations to INTERPOL and its member countries based on the
crisis management framework and its findings. This objective will help to put in
practise the answers of the central questions and complementary questions 1 to 6.

1.6. Contributions and benefits

Practical/Professional level

For INTERPOL and its member countries:

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  INTERPOL does not have a framework to crisis management in order to assist its
member countries in cases of transnational disasters. Thus, this study and its
results will be indispensable to fill the interorganizational gap involving the lack
of framework over time as much as to implement strategic measures related to
crisis and disaster management at INTERPOL taking into account the priorities
for action. This research will also offer an original contribution presenting a crisis
management framework to legitimate INTERPOL’s activity before, during, and
after transnational disasters. In addition, this study will provide recommendations
to INTERPOL increases and enhances its crisis and disaster management
capability.

For leaders, managers, policy makers, and practitioners:

 A solution to the workplace problem presented in this research will help managers
and leaders to create, lead, and manage crisis management in different practical
contexts related to transnational disasters. The solution will be based on a
comprehensive framework that can be easily generalised to other types of
disasters. In the strict sense, this research will provide leaders, managers, policy
makers, and leaders with an original contribution preventing and mitigating
transnational disasters through an innovative framework for crisis and disaster
management. In the broad sense, the results will assist managers and practitioners
to avoid predictable mistakes in the whole crisis and disaster lifecycle.

Theoretical level

This study will substantially contribute to professionals, practitioners, academics and

researchers to:

 Conceptualise, design, and implement applied research for the generation of

professional knowledge and to the develop the skills base to transnational cooperation
in disaster response. These steps intend to bring the areas of professional expertise
together with the general skills and capabilities required by international organisations
during the transnational cooperation.
 Develop understanding of the academic sense (epistemological and ontological)
related to multi-agency network and transnational cooperation within the context of
the disaster research.

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 Use case study method in order to find out crisis and disaster management concepts
and categories creating a structure of research and inquiry as well as generating new
knowledge (Creswell, 2013; Easterby-Smith et al., 2012).
 Identify future avenues for research related to crisis management, disaster
management, multi-agency network, and transnational cooperation.
 Re-focus the business school agenda through the application of mode 2 of research to
crisis and disaster management taking into account the international cooperation.
 Develop understanding on how to create and implement a formal notation for data
storing involving multiple cases studies. This notation is used to facilitate the
identification, localization, and traceability of the collected data in qualitative
researches.
 Use the techniques of axial coding, triangulation, cross-case analysis, and
generalizability through multiple case studies applying them in the context of crisis
and disaster management.

1.7 Key terms

1.7.1 Crisis

The origin of the term crisis comes from Greek “krisis” and means decision, a time of
intense difficulty, danger, disagreement, confusion, or suffering when problems must be
solved or important choices and judgments must be made (Oxford University Press, 2015;
Cambridge University Press, 2015). In the management and business administration
context, several authors have widely explored the term crisis according to their specific
spheres of activity. Pearson and Clair (1998, p.60) define crisis in the organisational
context as “a low probability, high impact event that threatens the viability of the
organization and is characterized by ambiguity of cause, effects and means of resolution,
as well as by a belief that decisions must be made swiftly”. Gregory (2005, p. 313)
explores crisis as an event characterised by “high consequence, low probability, overlaid
with risk and uncertainty, conducted under time-pressure, disruptive of normal business
and potentially lethal to organizational reputation”. In turn, Raftari et al. (2011, p.1923)
outlines crisis as “a condition that disrupts the original system of order or parts of it named
sub-system and disarranges its stability”. Grounded in the practical context of crisis, the
International Institute for Crisis and Disaster and Risk Management argues that crisis is

23
“a crucial point or situation in the course of anything; a turning point; an unstable
condition in which an abrupt or decisive change is imminent” (ICDRM, 2010, p.25). As
a result, it is possible to infer that there is no consensus around the definition of the term
crisis.

Several authors identify a lack of consensus about the concept of crisis. According to
Paraskevas (2006) the use of term crisis varies depending on the circumstance in which
it is being applied and the researcher’s context. Elliott and Macpherson (2010) reveal a
complementary viewpoint on this lack of consensus when they mention that crises depend
on those acting within them in order to promote flexibility and innovation to translate the
theory into practice. Thus, a crucial problem concerns ambiguities in the term crisis is
that several authors define their characteristics taking into account the symbolic impact
of an event and the resulting challenge to predominant norms (Elliott and Smith, 2006).

Classifying events as crisis

Although there is no consensus about the term crisis, this thesis investigates an extensive
literature and there appears to be now a reasonable level of agreement in the literature
about the essential elements to consider incidents, events or situations as crises (see Table
1.2). Therefore, it is necessary to create a process to identify these key elements. This
process was created based on the following four steps.

Step 1 – Extraction of general definitions

The first step was to find out a set of frequently used definitions, as presented in Table
1.2. The identified crisis definitions were rooted in the existing crisis literature by several
authors. A study of the crisis domain was first compiled by investigating a representative
collection of some existing definitions (16 in total) elaborated by scholars and
practitioners in different domains. This gave a broad knowledge of the key elements to
define “crisis”. The sources of these definitions with its essential elements were obtained
from University of Liverpool Online Library, Scopus, Web of Science, and Google
Scholar. The total of citations of each literature was obtained from Google Scholar in
April/2015. Table 1.2 is organised in decreasing order by number of citations.

Table 1.2 – Key elements used in crisis definitions according to different authors/sources

24
Definition Source/author Cited Domain Key element
by
1. Mishra 1333 Organisational crisis Major threat
(1995) Little time to respond
Ill-structured situation
Exceed the organisational capacity

2. Weick 1143 Crisis Management Low probability

(1988) High impact
Threaten the fundamental goals
3. Pearson and Clair 1011 Crisis management Low probability of occurring
(1998) High impact
Threat the viability of the
organization
Ambiguity of cause, effects and
means of resolution
Decisions must be made swiftly

4. Hermann 546 Organisational crisis Threaten high-priority goals

(1963) Restrict the amount of time
available for response
Surprise the members of the by its
occurrence
5. McConnell and 149 Crisis management Unexpected threats
Drennan High uncertainty
(2006) Urgency in decision making
6. Mitroff et al. 136 Organisational crisis Low probability of occurring
(1988) High-consequence
Threaten
Exhaustive damage
7. Brockner and 55 Organisational crisis Low probability of occurring
James Highly ambiguous situation
(2008) Surprise to organisational
members
Fast decision or judgment to
improve the organisation
8. Smith and Elliott 48 Crisis management Emergent properties
(2006) Complex
Non-linear
Damaging event
Affect a considerable proportion
of the organisation
Spatial and temporal dimension
Exceed an organisation’s abilities
to cope with
9. Brecher 45 International crisis Threat to basic values
(1979) Low probability of occurring
Finite time for response
10. Veil 28 Crisis management Non-routine event
(2011) High levels of uncertainty
Threat to an organization
11. Elliott and 21 Learning from crisis Low probability of occurring
Macpherson High impact
(2010) Suddenness

12. Gregory 19 Crisis in public Low probability of occurring

(2005) affairs High consequence

25
 Definition Source/author Cited Domain Key element
by
Risk
Uncertainty
Time-pressure
Disruption of normal business
Potentially lethal to organisational
business
13. ICDRM 19 Disaster management Ill-structured condition
(2010) Abrupt decision
Damage event
14. UNISDR 16 Disaster management Threatening condition
(2009) Fast decision and action
Exceed the organisational capacity
15. Raftari et al. 11 Disaster management Exceed organisational resources
(2011) Damage event
Threatens essential goals
Limited time to for decision.
Surprises the elements
16. BIS 9 Crisis in public Non-routine situation
(2014) business Exceeds the organisational
capacity of everyday business
Threatens the operation, safety
and reputation of an organisation

Step 2 – Reconciliation of candidate key elements

Various key elements found in Table 1.2 are synonyms one each other or have the same
semantic context in the field of crisis research. It is important to highlight that some of
the terms studied and presented here cannot be synonyms in other contexts. Hence, it is
useful to make a reconciliation of these terms in order to avoid misunderstanding and
duplicates, as following:

(i) Uncertainty also represents: surprise, unexpected, sudden event, ambiguity.

(ii) High-impact also represents: high consequence, potentially lethal to
organisational business.
(iii) Time pressure also represents: fast decision-making, little time to respond,
temporal dimension, finite time to take action, emergency, temporal dimension.
(iv) Threat also represents: risk, threaten to the viability of individuals, organisations,
communities, or nations.
(v) Non-routine also represents: disruption of normal business, abnormal event.
(vi) Ill-structured also represents: non-linear event, complexity.

26
Step 3 – Listing of candidates for key elements using frequency

It also becomes important to create a short-list of key elements within definitions

catalogued in Table 1.2 and according to the reconciliation process. The candidates will
be elected using frequency presented in Table 1.3.

Table 1.3 – Key elements of crisis distributed by source and frequency

Key element of Source Frequency

crisis 1 2 3 4 5 6 7 8
9 10 11 12 13 14 15 16
Threat             12
Time pressure            11
Uncertainty         8
Low probability        7
High impact       6
Exceed capacity      5
Damage event     4
Ill-structured    3
Non-routine    3
Emergent  1
properties
Spatial  1
dimension

Process to create a candidate list:

It is a way of quantifying from a small sample of studies, how a qualitative term is to be

used. Firstly, calculate the frequency results for all key elements as shown in Table 1.3.
Secondly, it is required to use a Frequency-Based Selection (FBS) for all 16
sources/authors of definitions. This FBS is a function to evaluate the importance of each
key element found in the definitions.

Frequency of key element

𝐹𝐵𝑆 (𝑥) = 𝑥 100%
𝑇𝑜𝑡𝑎𝑙 𝑜𝑓 𝑘𝑒𝑦 𝑒𝑙𝑒𝑚𝑒𝑛𝑡𝑠 𝑖𝑛 𝑡ℎ𝑒 𝑠𝑒𝑡 𝑜𝑓 𝑠𝑜𝑢𝑟𝑐𝑒𝑠

where, x is a key element.

Examples of FBS:

FBS (Threat) = 12/16 = 0.75 x 100 = 75%

FBS (Time pressure) = 11/16 = 0.6875 x 100 = 68.75%

FBS (Low probability) = 7/16 = 0.4375 x 100 = 43.75%

27
FBS (High impact) = 6/16 = 0.375 x 100 = 37.50%

FBS (Spatial dimension) = 1/16 = 0.0625 x 100 = 6.25%

The complete calculation of FBS for each key element is illustrated in the frequency graph
shown in Figure 1.4.

THREAT 75,00%
TIME PRESSURE 68,75%
UNCERTAINTY 50,00%
LOW PROBABILITY 43,75%
Key Element

HIGH IMPACT 37,50%

EXCEED CAPACITY 31,25%
DAMAGE EVENT 25,00%
NON-ROUTINE 18,75%
ILL-STRUCTURED 18,75%
SPATIAL DIMENSION 6,25%
EMERGENT PROPERTIES 6,25%

0,00% 10,00% 20,00% 30,00% 40,00% 50,00% 60,00% 70,00% 80,00%

FBS

Figure 1.4 – FBS for 11 key elements found in crisis definitions

Step 4 – Selection of the key elements

The premise is that the best key elements are formed by the most frequents in the sources
of definitions. Table 1.3 denotes which elements are linked to which sources/author(s)
and the frequency with which these elements appear. At this moment, it is necessary to
select the candidates using a Confidence Factor (CF) based on their FBS. It is defined
five categories of CF:
I) Very strong (FBS result: 100% – 70%)
II) Strong (69% – 50%)
III) Moderate (49% – 30%)
IV) Mild (29% – 11%)
V) Very Mild (10% – 0%)

For the purpose of this study, it will be only considered as key elements those that have
CF very strong, strong, or moderate (i.e. from 100% to 30%). The selected/elected key
elements to consider an event as crisis are time pressure, threat, uncertainty, low
probability, high impact, and exceed capacity, as presented in Figure 1.5.

28
 Figure 1.5 – Crisis and its key elements

Crisis in this thesis

A widely accepted viewpoint is that crises may be differentiated from other events by the
challenge they present to established assumptions and mechanisms for response and
mitigation (Elliott, 2009). In order to clarify and avoid any kind of misunderstanding, this
study uses the six most frequent key elements (see Figure 1.5) and proposes the following
definition to crisis:

Crisis is an uncertain event with low probability of occurring and high

impact, which threatens the individual, organisation, community, or
nation, exceeding its response capacity and demanding fast decision-
making.

1.7.2 Disaster

What is a disaster?

Over the years, a wide spectrum of social, psychological, and management literature has
been published regarding disasters. The origin of the term disaster comes from the Latin,

29
pejorative prefix dis- (expressing of negation) + suffix astrum (star). Thus, the root of the
word disaster ("ill-starred event" in Latin) is astrological, a calamity due to an
unfavourable position of a planet. Etymologically, disaster is an unexpected event that
produces great harm, damage, death, or serious difficulty (Oxford University Press, 2015;
Cambridge University Press, 2015).

First and foremost, disaster as defined within this thesis, is a specific kind of crisis with
an additional spatial dimension across boundaries, communities, countries, and not
confined by organisational boundaries. A number of studies have set out definitions and
conceptualisations on the term disaster. Some authors examine the term disaster based on
different perspectives. Turner (1976, p.381) in his seminal paper presents a notion of
disaster that is very close to later definitions of crisis. He defines disaster from a social
perspective and posits

“a disaster in the sociological sense involves a basic disruption of

the social context and a radical departure from the pattern of
normal”.

Janssen et al. (2010, p.1) explores another facet of the term disaster setting out as

“a continuously unfolding situation, marked by changes in urgency,

scope, impact, the types of appropriate responders, and the
responders’ needs for information and communication”.

Verchick (2010, p.6) offers a different perspective that exclude armed conflict from
disaster defining as

“a serious disruption of the functioning of society, which poses a

significant, widespread threat to human life, health, property or the
environment, whether arising from accident, nature or human
activity, whether developing suddenly or as a result of long-term
processes, but excluding armed conflict”.

Other researchers focus on the social role and its impact upon a community or society
affected by disasters. Coppola (2015) claims that disaster occurs when a hazard risk
occurs and overwhelms the response capability of a community.

In this scope, not all adverse events are disasters, only those that overwhelm the
community response capacity. Benson and Clay (2004, p.5) argues

30
 “Disaster is the occurrence of an abnormal or infrequent hazard
that affects vulnerable communities or geographic areas, causing
substantial damage, disruption and perhaps casualties, and leaving
the affected communities unable to function normally”.

Taylor (1987, p.535) also offers a social perspective acknowledging disaster as

“an unexpected event that has a social stressor variable to which a

variety of people respond according to the extent, the duration, the
frequency and the type of their involvement”.

The importance of the term disaster is also recognised by a number of relevant

international agencies specialised in disaster management and has the same sociological
viewpoint taking into account the society and community affected by disasters. The
United Nations Office for Disaster Reduction (UNISDR, 2009, p.9) defines disaster as

“a serious disruption of the functioning of a community or a society

involving widespread human, material, economic or environmental
losses and impacts, which exceeds the ability of the affected
community or society to cope using its own resources”.

The International Federation of Red Cross and Red Crescent Societies (IFRC, 2012, p.2)
in the same vein acknowledges disaster as

“a sudden, calamitous event that seriously disrupts the functioning

of a community or society and causes human, material, and
economic or environmental losses that exceed the community’s or
society’s ability to cope using its own resources”.

The Institute for Crisis, Disaster, and Risk Management (ICDRM, 2010, p.30) provides
a social application of the term disaster and defines as

“accidental or uncontrollable events, actual or threatened, that are

concentrated in time and space, in which a society undergoes severe
danger and incurs such losses to its members and physical
appurtenances”.

The Emergency Management Australia (EMA, 2004, p.9) reinforces this sociological
approach contending that

31
 “Disaster is a condition or situation of significant destruction,
disruption and/or distress to a community”.

Thesis’ approach to disaster

For the purpose of this thesis, disaster is a particular form of crisis; therefore, its definition
is very close to crisis. Although the several definitions of disaster presented previously,
INTERPOL represents the scope of this study and has its own definition. Furthermore,
the INTERPOL’s definition of disasters is synergy with the academic and organisational
perspectives shown before. Therefore, this thesis will use the INTERPOL definition to
disaster, as follows:

“Disaster is an unexpected event causing the death of many people, which

exceeds the response capacity in the affected member country”
(INTERPOL, 2014a, p.8).

This thesis will only investigate and analyse those disasters under umbrella of
INTERPOL according to its legal attribution, roles, and responsibilities. It is possible to
identify three characteristics in the INTERPOL definition, which separate a disaster from
other events. First, disaster is an “unexpected event”, and thus it is an uncertain, surprise,
or sudden event. It is not a routinely situation or part of the normal set of events likely to
happen according to the space and time dimension, i.e. it does not always happen in the
same place and time. For example, endemic disease, famine, poverty, and drought are not
under the umbrella of INTERPOL because they are not unexpected events neither are part
of the INTERPOL responsibilities. Second, the sentence “causing the death or injuring of
many people” is a precondition for INTERPOL involvement in cases of disasters. This
characteristic relates to effects or impact on people, which includes death, injury, and
resulting hardship. For instance, one of the roles of INTERPOL in the disaster
management context is establishing fast, certain and confident disaster victim
identification (DVI) and delivering confirmation to the surviving family members. Third,
the last sentence of the INTERPOL definition “which exceeds the response capacity in
the affected member country”. This means that if a disaster occurs in a country that the
needs are greater than its own response capacity, a support by disaster response teams
from other countries can be requested through INTERPOL channels and networks (see
Figure 1.6). More details on how is the INTERPOL support through participation in

32
multi-agency networks or transnational cooperation can be seen in sections 2.4 and 2.5
respectively.

Response
Needs
Capacity

Figure 1.6 – The relationship between needs and response capacity in a disaster situation

Disaster Classification
An essential theoretical-practical aspect to lead with disaster is how to organise, typify,
and classify disasters grouping them by categories. There are two major reasons to create
this classification or taxonomy of disasters. First, scholars, practitioners, organisations,
and disaster management operators seek to organise the diverse types of disasters into
classes and to identify their relationships. Second, in a practical context related to
information system, databases have to deal with classifications of data in order to offer
an effective and efficient mechanism to benefit users, tools, and systems (BOND, 1999;
FEMA, 2014). Therefore, a vast literature produced by academics, practitioners, and
specialised organisations has classified or clustered disasters using different criteria,
according to their missions, aims, competencies, and responsibilities (Berren et al., 1980;
Hogan and Burstein, 2007). INTERPOL uses explicitly a two-dimensional classification
of disaster by nature and identifiable group of victims (INTERPOL, 2014b), as presented
in Figure 1.7.

33
 Natural
By Nature
Man-Made

Disaster
Open

By Identifiable Group Closed

Mixed

Figure 1.7 – The two-dimensional classification of disaster according to INTERPOL

I) Classification by nature:
a) Natural disasters3. They are provoked by nature, such as: tsunamis, avalanches,
landslides, earthquakes, eruptions, typhoons, hurricanes, tornadoes, floods, storms, etc.

b) Man-made disasters4. They are provoked by humans, such as: aircraft crash, train crash,
maritime accident, plant accidents, terrorist attack using hazardous materials (chemical,
biological, radiological, nuclear, and explosive), etc.

II) Classification by identifiable group of victims:

a) Open disaster. It is a major catastrophic event resulting in the deaths of a number of

unknown individuals for whom no prior records or descriptive data are available. It is
very difficult to obtain information about the actual number of victims following such
events.

b) Closed disaster. It is a major catastrophic event resulting in the deaths of number of

individuals belonging to a fixed, identifiable group such as an aircraft crash with
passenger list.

c) Mixed. Combinations of the two forms mentioned previously (e.g. aircraft crash in a
residential area).

3
Natural disaster: any disaster produced primarily/originally by forces of nature. The trigger event is the
forces of nature.
4
Man-made disaster: A disaster not produced primarily by forces of nature. The trigger event is the
human being.

34
Therefore, based on the INTERPOL classification it is possible to create a two-
dimensional matrix categorising several types of disasters. See Table 1.4 with more than
30 examples of disasters classified into INTERPOL two-dimensional matrix.

Table 1.4- Two-dimensional matrix of disasters with more than 30 examples according to
INTERPOL classification
Open Closed Mixed

Natural Avalanches, Earthquakes, Landslide in a Earthquakes in

Eruptions, Typhoon, school, urban zones
Wildfires, Hurricanes, Boat sunk due to
Tornadoes, Floods, storm,
Landslides, Storms, Tornado in a
Tsunamis factory
Man-Made Terrorist attack in a metro, Aircraft crash, Aircraft crash in a
or bus, Explosion of Train crash, residential area,
hazardous materials Maritime accident, Terrorist attack in
(chemical, biological, Plant accidents, trade zones (e.g.
radiological, nuclear, and Terrorist attack in trade centres,
explosive) an aircraft, a factories, hotels).
cruise, a train

1.7.3 Transnational disaster

People, organisations, and nations can take action and intervene on disaster in different
levels, such as local, national, international, and transnational (Nogueira, 2015a).

(i) Local disaster: it occurs when provincial or state response entities can manage the
consequences of the disaster as a whole.

(ii) National disaster: it takes places when it is necessary the intervention of the national
government entities to manage the consequences of the disaster.

(iii) International disaster: it happens when the national government is not capable to
manage the consequences of the disaster and accepts the assistance and relief of other
national governments. Therefore, it refers to international cooperation among nation-
states.

35
(iv) Transnational disaster:5 it occurs when the actions taken extend or operate across
national boundaries by a set of international assistance and relief entities since the national
government or several national governments are unable to manage the consequences of
the disaster (Bartlett and Ghoshal, 1998; Fijnaut, 2000; Hearn, 2004). It refers to
international entities (usually, international NGOs) that act "transcending" the idea of
nation-states or national governments but under the authorization and permission of them
(Javidan, 2013; McConnell and Drennan, 2006). Hence, it is a global cooperation between
entities (public, private, and NGO organisations) that transcends the national boundaries
and the concept of nation-state (Bartlett and Ghoshal, 2003; Crowe, 2011).

Thesis’ approach to transnational disaster

The transnational disasters are increasingly complex due to several factors and there is
not an extensive study on transnational issues. Nonetheless, some researches point out
some complex factors to the term transnational (Eom, 1994; Nogueira, 2015a; Smith and
Elliott, 2007). For instance, factors related to the massive circumstances in which they
usually arise, the number of victims, the scientific and specialised knowledge required,
the social networks, the level of environmental destruction, the engagement of different
transnational organisations with different roles and interests, and the cross-border nature
of the damage caused since many disasters in one country can swiftly spread to others in
a world risk community.

Thus, in the context of this research, the transnational need to be very objective and based
on the activities and responsibilities developed by INTERPOL around the world.
Therefore, for this study, the transnational term is applied to disaster and defined as
follows:

Transnational disaster is a natural or man-made disaster caused or

suffered by foreign citizens in one or more countries, or when the effects
of the disaster exceed the response capacity in the affected country.

5
Transnational means something extending or operating across national boundaries (Oxford University
Press, 2015; Cambridge University Press, 2015). In the context of this research, there is a difference
between transnational and international. Whereas international comprises the relations between the
government of one nation-state with the government of another nation-state, or of several nation-states,
transnational, go further by ignoring the differences between nations operating on a truly global level
involving public, private, and non-governmental actors.

36
1.7.4 General secretariat (GS)

In order to further strengthen the physical presence across the world, INTERPOL is
comprised of the General Secretariat (GS), the National Central Bureaus (NCBs) in
member countries, and the Regional Bureaus (RBs) in some regions of the globe. The
General Secretariat is the headquarter of INTERPOL. It is located in Lyon/France and
operates 24 hours a day, 365 days a year. All INTERPOL central units and directorates
are connected and located at the General Secretariat, including command and control
centre, operational directorate, strategic planning directorate, police database directorate,
and police forensic directorate with its disaster unit.

1.7.5 General assembly (GA)

The General Assembly (GA) is composed of representatives appointed by the police

forces of INTERPOL member countries. It meets once a year and takes all the major
decisions affecting general themes such as governance mechanisms, mobilisation of
resources and services, finances, and programmes of activities. The General Secretariat
implements GA’s decisions.

1.7.6 National central bureau (NCB)

The centre of every INTERPOL member country is a National Central Bureau (NCB),
linking national police with the global organisational structure. It is typically a division
of the national police agency or investigation service and serves as the contact point for
all INTERPOL activities in the field. Therefore, there are 190 NCBs around the world.

1.7.7 Regional bureau

Recognizing the value of bringing together police within a region to share experiences
and tackle common issues, INTERPOL has seven Regional Bureaus: Argentina (Buenos
Aires), Cameroon (Yaoundé), Côte d’Ivoire (Abidjan), Kenya (Nairobi), El Salvador (San
Salvador), Zimbabwe (Harare), and Thailand (Bangkok).

1.7.8 Framework

The term framework can have various meanings and interpretations depending on the area
of application. Overall, framework means an essential structure around which a set of
ideas or beliefs is used to plan or decide about something (Cambridge University Press,
2015; Oxford University Press, 2015). Anderson and Woodrow (1989) clarifies that a

37
framework sets out categories of factors that should be considered for a particular
phenomenon and these categories must be comprehensive enough to cover all the
important variables. Rowley and Slack (2004) argues that frameworks are useful tools in
developing an understanding of a subject area and in identifying key concepts in a
collection of documents or research area.

Thesis’ approach

For the purpose of this study,

Framework is a structure that forms a theoretical-practical scaffolding

containing categories, concepts, and relationships of the way to view a
particular phenomenon upon which researchers and managers use to develop
their activities as well as to plan or make decisions.

This thesis offers an innovative Crisis Management Framework (CMF) for INTERPOL
to manage transnational disasters divided in two dimensions: static and dynamic.

(i) Static CMF. It is a structure with relevant concepts (codes) and categories
(themes) that emerged from data analysis and will be used to develop the
management activities as well as to plan or make decisions at INTERPOL.

(ii) Dynamic CMF. It is a structure comprised of the relationships between concepts

and categories represented in class diagrams developed using the Unified
Modeling Language – UML (ISO/IEC, 2012; Nogueira, 2004). These class
diagrams will be used to give a unified view of common building patterns
(concepts and categories), to identify the actions that can be applied in all
transnational disasters under the auspices of INTERPOL, and to build practical
information systems and databases for crisis and disaster management.

38
1.8. Thesis outline

The outline is an organisational guide of this thesis and is structured into six chapters.
The following is a brief description and summarisation of each.

Chapter 1
Introduction: overview, workplace-based problem, research context, research questions,
objectives, contributions and benefits, key terms, thesis outline.

Chapter 2
Conceptual Development and Literature Review: crisis management, disaster
management, multi-agency network, transnational cooperation.

Chapter 3
Methodology: philosophical scaffolding, research design, sense making, research
generalizability, research quality, ethical considerations.

Chapter 4
Crisis Management Framework: static CMF, dynamic CMF, comparison between CMF
and other international frameworks.

Chapter 5
Findings and discussions: priorities for action, recommendations, CMF Information
System (CRIMAFIS), answers to research questions, impacts of CMF.

Chapter 6
Conclusion.

39
1.9. Conclusion

This introductory chapter provided the reader with a preliminary and explanatory vision
of the major disasters portraying a rich picture of the complexity in managing
transnational disasters. The role of INTERPOL in disaster management was depicted
because it is the application domain of this study and the world’s largest international
police organisation and a leader in disaster management engaging its 190 member
countries within the international disaster networks around the globe. Some transnational
disasters with full engagement of INTERPOL teams were presented in order to show the
relevance of INTERPOL in the international scenario. The workplace-based problem and
the research context were highlighted. The research questions (central and
complementary) as well as the objectives of the research were paid attention.
Contributions and benefits of this study at theoretical and practical levels were presented.
Subsequently, key terms underlying the study were critically discussed, and in doing so
misunderstanding and wrongful interpretation were eliminated or reduced. At last, this
chapter revealed the thesis outline.

The following chapter aims to provide the reader with an in-depth conceptual
development and critical literature review upon crisis management, disaster management,
multi-agency network, and transnational cooperation that are core themes in this doctoral
thesis. In addition, it goes further addressing the barriers and facilitators, which contribute
to build a crisis management framework to transnational disasters from a theoretical
viewpoint.

40
Chapter 2
Conceptual Development and Literature Review
2.1 Introduction

As the relevant literature on crisis and disaster management grows, it increasingly

fragments in terms of theory and practice. Furthermore, there is also a gap to connect
conceptual elements in a way which provides scholars and practitioners with a common
vision on the studied phenomenon (Aram and Salipante, 2003; Hodgkinson and
Rousseau, 2009; Shah and Corley, 2006).

This chapter provides the structure/content for the whole research based on literature and
personal experience depicting a conceptual development and critical literature review in
order to explain the main topics to be studied. The task here is to elaborate a conceptual
content in order to support the development of the research questions alongside reference
to how my own experiences at INTERPOL have shaped the initiation of this study. This
chapter also provides an explanation of why the structure/content of this thesis takes the
form and shape it does. It relates to both on the review of literature and the personal
experience of the researcher and their influence upon conceptual development. Another
task is to elaborate a conceptual content in order to highlight how the research questions
emerged, as graphically presented in Figure 2.1. Firstly, INTERPOL does not have a crisis
management framework to face transnational disasters generating several organisational
difficulties, as depicted in Section 1.2 (Workplace-based problem). However, as police
forensic director and senior manager of the disaster unit at INTERPOL, I have a vast
practical experience managing dozens of transnational disasters around the world.
Likewise, several INTERPOL staff members in the disaster unit have also vast
experiences in the field and could be participants in an academic research. Therefore, I
was in the right place and time to develop a conceptual structure to answer the research
questions and achieve the proposed objectives. Secondly, during this DBA programme
the crisis and change management module supported me with key readings on crisis
management and disaster management – two important topics to study before the creation
of a crisis management framework to face transnational disasters. Furthermore, in the
context of management, crisis is a broad term, differs from disaster in terms of its triggers
events and dimensions (see details in Section 2.3.3); consequently, there are two
separated topics in this conceptual development: crisis management and disaster

41
management. Thirdly, in a practical context, the organisational mission of INTERPOL is
to manage transnational disasters in a cooperative approach which takes into account the
multi-agency networks. Therefore, before developing a crisis management framework, it
is also necessary to have an in-depth study on other two topics: transnational cooperation
and multi-agency network. Moreover, the key elements in the research questions
(governance, resources and services, stakeholders, finance and fund, formal and informal
relationships, barriers and facilitators) are concerned with INTERPOL and its multi-
agencies networks when cooperating transnationally to manage disasters. This fact makes
this doctoral research a distinctive work.

Legend:
CQ – Central question
Q1 to Q6 – Complementary questions

Figure 2.1 – Conceptual development in this doctoral research

Therefore, based on these four aforementioned core topics (i.e. crisis management,
disaster management, transnational cooperation, and multi-agency network) a critical
literature review was developed in order to support the development of the research
questions as well as my own daily experiences working on these topics have helped to
achieve the objectives of this study. Therefore, these four knowledge areas comprise the
core topics where concepts, themes, and their relationships will emerge in order to
develop the research questions and find out the key factors to consider in developing a
crisis management framework for INTERPOL to manage transnational disasters, as
presented in Figure 2.1.

42
2.2 Crisis management

Crisis Management (CM) is a term usually used to outline the way in which an
organisation handles a crisis. The concept of crisis management has evolved over time,
many definitions were proposed within crisis and disaster literature, and those definitions
differ immensely in scope, focus, and terminology used (Houben, 2005).

The early studies of crisis management arose from the area of disaster response,
noticeably on how to respond better to natural disasters (Fink, 1986; Quarantelli, 1954;
Smith, 1990). Nowadays, the definition of crisis management (CM) can vary considerably
from business to business, organisation to organisation, and country to country (Jaques,
2007). Some scholars explicitly centre their approaches on the pivotal role of the actors
involved in CM, mainly leaders and managers. For example, Pearson and Clair (1998)
sets out that CM is a systematised effort by organisational members together with external
stakeholders to avoid crises or to effectively manage those that are occurring. Whereas
Boin et al. (2005) mention that CM is a set of interrelated and extraordinary governance
challenges, where leaders are expected to make critical decisions and provide direction in
the most difficult circumstances. In addition, they highlight that when policy makers
manage well a crisis, the damage has less impact in the organisation; but when they fail,
the crisis effect increases. Pauchant and Mitroff (1988) advocate that some organisations
are crisis prone and others crisis resistant – they see culture as the main factor in this,
consequently executives who consider the necessity for changing their organisational
culture should not only consider the technical aspects involved in CM but also the human
and social aspects. In turn, some authors focus their studies on the conceptualisation of
CM based on a processual approach. Kash and Darling (1998) claim that CM involves a
process to identify, investigate and forecast crisis issues, and set different manners that
an organisation could prevent or cope with a crisis. Raftari at al. (2011) posits that CM is
a set of organised and systematic processes that organisations attempt to identify and
forecast the potential crisis and then use preventive functions against them to diminish its
effects. Other groups of researchers explore CM as a trans-organisational phenomenon
that companies need to cope during their life cycle. Shrivastava et al. (1988) argue that
CM has fundamental trans-organisational origins, encompassing social, cultural, and
political factors, and its prevention and management cannot be achieved at the
organisational level alone. Smith (1990) reinforces this broad critical reflection
explaining that the most common aspect in effective CM appears to be the existence of

43
an intertwined global culture recognising the worldwide context, which facilitates
effective communication and develops organisational support during crises. Smith also
advocates that crisis management needs to acknowledge when the contingency planning
has limitations to allow for more effective decision-making.

In addition, over time, the understanding CM has changed from crisis response
emphasizing the operational aspect of CM as explored by several authors since decades
to another approach based on prevention and preparedness, cultural antecedents, learning,
and resilience. Therefore, it is necessary to review and understand the connections
between CM and these other approaches.

First, regarding the connection of prevention and preparedness with CM, Jaques (2007)
contends that CM should be seen not just as a reactive response when a crisis occurs, but
also as a proactive way of managing embracing inter-related actions extending from
response to prevention, preparedness, and recovery. Moreover, McConnell and Drennan
(2006) argue that for crisis managers, where prevention and preparedness is part of their
organisations, the actions on CM is easier because they do not have to fight strongly
against a rigid organisational culture focused on crisis response. These authors also
highlight that prevention and preparedness in CM is not a mission impossible but it is
undoubtedly difficult to achieve.

Second, another aspect that need to be better understood is the connection between
learning and CM. Learning involves the acquisition of knowledge and skills through
experience as an asset to be passed on, and academics have studied this aspect in the
context of CM. Brockner and James (2008) claims that CM should focus on redressing
the organisational systems and executives, and should be in learning mode in order to
perceive opportunities in crises. Smith and Elliott (2006) states that the learning process
is an essential factor to generate many of the necessary conditions to effectively deal with
future problems within CM. In addition, Smith and Elliott emphasise the fundamental
role of learning as a means to feed the information back into the strategy process around
crisis prevention and response as well as to challenge core beliefs around CM. However,
during the learning process in CM, a major question arises “what are the barriers to
learning from crisis?” Smith and Elliott (2007) answer this question in their exploration
of some of the key barriers to learning from crisis and advocate that these barriers generate
situations that allow a simple incident to escalate into a crisis. Some of these barriers,

44
including from different authors, is better explored and classified within multi-agency
network (see Section 2.4).

Third, regarding the connection of cultural adjustment with CM, the seminal paper of
Turner (1976) is one of the early research that highlights the process of cultural
readjustment (i.e. adapt to a changed environment or situation) within CM, more
specifically related to disasters, a topic that is fully linked with the focus of this thesis.
According to Turner, a full cultural readjustment is carried out through inquiries and
assessments, and beliefs and norms need to be adapted to fit the newly gained
understanding of the world. Therefore, the cultural readjustment is necessary to prevent
future problems in CM, and this requires a revaluation of core assumptions, beliefs, and
culturally accepted devices when disasters occur. By the same token, Pauchant and
Mitroff (1988) encourage organisations to investigate their basic sense of identity such as
leaders and managers can recognise the necessity for changing the organisational culture
not only considering the technical aspects in CM but also taking into account the social
and human aspects. Elliott and Macpherson (2010) reinforce this necessity of changing
of culture in CM when they clearly posit that CM is an enacted process, and recognising
lessons is not sufficient; learning must draws attention to the ability to generate resilience
to cope with unpredicted high impact events, for example in cases of disasters.

Fourth, another aspect around crisis is the connection of CM with resilience. In a practical
context, CM managers should advance and incorporate resilience‐building processes to
empower their organisations to both prevent and diminish the effects and duration of
crises and disasters when they do occur. This seems as too difficult, especially when
dealing with transnational crises, however efforts has been done by several scholars and
practitioners. McEntire et al. (2002) claims that organisations and communities must give
more attention to resilience because it has close relation to crises (mainly disasters) and
their cultural, social, psychological, and particularly economic factors. Johnson and
Elliott (2011) explore sources of organisational resilience through inter-organisational
cooperation (public–private partnerships) considering how interconnectedness and
interrelation can be joined to build resilience by enhancing the organisational capacity to
prevent and respond to crises as well as they also explore how social capital provides a
productive base that facilitates organisational resilience. It is important to emphasise that
the framework proposed in this thesis also takes into account resilience as part of the
mitigation phase of disaster. In turn, Pat and Van Dewald (2008) explains that

45
governments need to move away from the traditional thinking that nothing could be done
to prevent crises and disasters to adopt a new developmental approach in line with global
trends by integrating crisis and disaster management methodologies to build resilience in
communities and areas known to be at risk. Paraskevas (2006) adds that the response
system in crisis events needs to be reframed to take into account the reaction and response
with broader factors based on organisational resilience, such as: the response system
should allow an organisation to become more resistant to intense difficulties or danger;
should enhance its capabilities to restore itself after a crisis. On the other hand, resilience
is not an exclusive preoccupation of academics, researchers, and scholars of CM and DM.
For example, the United Nations (UN) is also worried about how to build the resilience
of nations and communities in disasters and then published the Hyogo framework that
gives guidelines about the major challenges to build resilience through enhanced national
and local capabilities to manage and reduce risk (UNISDR, 2005). This theoretical-
practical view of resilience connected with CM is an important factor that needs to be
better understood as part of the crisis management framework proposed to this thesis.

2.3 Disaster management

2.3.1 Origins of disaster management

Remembering that disaster is a kind of crisis, and consequently a subclass of crisis (see
definition in Section 1.7.2), a number of scholars and researchers report rich pictures
involving disaster management (DM). Early history is focused on natural disasters and
the disaster management phases evolve in a cycle according to Figure 2.2. For example,
the story of Noah’s ark is an emblematic example of the relevance of preparedness,
response, and mitigation in DM; the towns of Herculaneum and Pompeii faced an
unforeseen catastrophe when the volcano Vesuvius in AD 79 began the eruption; the
urban fire in Rome, 2000 years ago when the city was nearly destroyed by fire (Coppola,
2015). These historical events extol the importance of DM since the beginnings of the
humanity and shows that the habitants of a community, nation, or country die and suffer
with the absence of knowledge on how managing the incident, the lack of resources, the
poor preparedness, and prevention on how to conduct an effective disaster management
(McNutt and Leshner, 2013; Quarantelli, 1988). In the modern and contemporary era,
humanity still suffers with huge natural and man-made disasters, in terms of the urgency

46
of globalised standards, the communication process, the exercise of authority, the
development of coordination and the mobilisations of resources and services (McNutt,
2015, Nogueira, 2015a).

2.3.2 Different approaches to disaster management

After understanding the origins of DM, it becomes necessary to understand DM in some

contexts. There is not a unified conceptualisation to DM because it encompasses various
areas of knowledge and applications. Hence, there are several concepts and perspectives
about what DM is, and this study will present a categorisation of the literature review
(cognitive, processual, and multi-agency contexts) including classics and contemporaries
studies. The choice of these studies takes into account the relevance that they have in the
building of the proposed crisis management framework (see Chapter 4).

(i) Cognitive context

In this context, DM involves knowledge sharing and collective decision-making usually

considered by a high level of complexity engaging different forms of knowledge scattered
across time, space, and human resources (Anderson and Woodrow, 1989; Below, 2009;
Butt et al., 2014; Chitakornkijsil, 2010). These authors also suggest that many
international and national entities need to create cognitive models in order to allow
effective DM activities.

(ii) Processual context

This context provides a comprehensive view exploring the fact that DM implies in a
number of activities, services, and actions to be developed as a process with different
phases: before disaster happens, during the disaster, and after disaster takes place (Benson
and Clay, 2004; Janssen et al., 2010; Othman et al., 2014). Furthermore, these authors
also reinforce that DM involves a series of actions distributed in phases or stages in order
to permit a fast and effective response to unexpected events.

47
(iii) Multi-agency context

A number of studies have been developed in this context engaging multi-agencies

(Nogueira, 2015b; Pat and Van Dewald, 2008; Salmon et al, 2011). However, this thesis
is particularly interested in the viewpoint of other international agencies like INTERPOL.
For instance, the United Nations through its Department of Humanitarian Affairs points
out that DM is the set of policy and administrative decisions and operational actions that
comprise the response to the different stages of a disaster at all levels (UNDHA, 1992).
A humanitarian view of DM is also provided by International Federation of Red Cross
and Red Crescent Societies when it defines DM as “the organization and management of
resources and responsibilities for dealing with all humanitarian aspects of emergencies,
in particular preparedness, response and recovery in order to lessen the impact of
disasters” (IFRC, 2012). The Asian Disaster Preparedness Center explains that DM is a
balanced approach of management to reduce the consequences of disaster by addressing
prevention, mitigation, response and recovery services (ADPC, 2005).

(iv) Thesis’ approach

For the purpose of this thesis, disaster is a particular form of crisis; therefore, the
definition of DM used in this study is close to CM.

The view adopted here is that

Disaster management is the set of organised steps carried out to administer and
diminish the effects of a disaster in order to come back to normalcy and give
continuity and sustainability to individuals, organisations, communities, and
nations.

2.3.3 Difference between DM and CM

There is a difference between CM and DM. CM concerns the management of a broad

range of triggers events affecting individuals, organisations, communities, and nations
(e.g. economic, financial, political, and legal affairs), whilst DM focus upon the
management of extreme events causing fatalities/injuries and destructions. In addition,
disaster is a specific kind of crisis with additional spatial dimension across boundaries of
individuals, organisations, communities, nations, and not confined by organisational
limits. Jaques (2007) clarifies and informs that the expression “disaster management” is

48
sometimes incorrectly used as a synonym for crisis management, but disaster
management is more specific and involves a distinct process, usually engaging
governmental entities and different authorities related to communities affected by
disasters. CM is more extensive than DM and it is often used to depict situations and
events that are difficult to deal with, but not necessarily destructive or catastrophic (Smith
and Elliott, 2006). For example, an economic crisis is concerned with the management of
crisis event itself, but it is not a disaster to be managed by DM. Consequently, based on
these authors and also in the definitions in the sections 1.7.1 and 1.7.2, it is possible to
infer that DM is a subset, subtype or subclass of CM.

2.3.4 Disaster management phases

There are various phases in DM that require more study and clarification. A typical
disaster management includes preparedness, response, recovery, and mitigation. The
disaster management phases also evolve in a cycle according to Figure 2.2.

 Preparedness

Preparedness is the phase to establish arrangements before disaster. It involves an

incessant cycle of preparation, equipping, organizing, planning, training,
exercising/simulating, assessing, and taking corrective actions (Coppola, 2015). This
process often covers several tasks such as identification of critical resources, stockpiling
of supplies, training first responders, education and information to prepare the community
to deal effectively with disasters, and development of necessary agreements among
responding agencies (EMA 2004; ICDRM, 2010).

 Response

Response is a phase that provides emergency aid and assistance, to reduce or eliminate
the impact of disasters, decreasing the risk of damage and minimizing their possible
secondary effects (Vitoriano et al., 2013; McEntire et al., 2002). Response provides
emergency aid for victims (e.g. search and rescue, mass feeding, medical care, DVI). This
phase also seek to reduce the probability of secondary damage such as shutting down
contaminated food and water supply sources, isolating and patrolling looting-prone areas,
and to speed assessment operations (e.g. damage/impact reports) (Janssen et al. 2010;
Unlu, et al., 2010). Therefore, it involves the immediate efforts to attend victims, prevent

49
further suffering, and stop ongoing hazards. It puts in place the preparedness
arrangements and plans.

 Recovery

Recovery is a phase that involves the post-disaster activities dealing with the
consequences of the emergency or disaster. It often begins after the immediate response
has ended, and can persist for months or years thereafter (Coppola, 2015; Kapucu and
Van Wart, 2006). It assists the affected community in reconstruction of the basic services
and physical infrastructure such as temporary settlement, debris clearance, provision of
food and water, clothing, communication. It also provides restoration of emotional, social,
economic, and psychological well-being.

 Mitigation

Mitigation (also called as prevention) is a phase to eliminate or reduce the impact of

disasters, reducing their susceptibility or increasing the resilience of the affected
community (Nogueira, 2015a; Othman et al., 2014). Therefore, in this phase measures
need to ensure effective risk assessment and preventive actions providing service such as
structural mitigation measures, disaster risk reduction, hazard and vulnerability
assessment, standardization, public education.

Figure 2.2 – Disaster management cycle

50
2.4 Multi-agency network

Agencies and organisations usually work in isolation from one another. However, when
a transnational disaster occurs its complex environment requires multiple agencies to
transform from individual, serial and autonomous actors to collective, collaborative, and
interdependent decision-making teams (Nogueira, 2015b). In the multi-agency
environment, managers and leaders need to change their mindsets and leadership styles
from centralised and individualist to decentralised and cooperative since working in
transnational environments require the creation of networks in different levels of
engagement across the organisational boundaries. Thus mindset and leadership style have
to adapt to the requirements of a complex and uncertain context whilst engaging with
other organisations facing similar adaptation issues.

In the context of this thesis,

Network is a model of knowledge representation comprised of nodes and edges

that helps academics, researchers, managers, and practitioners to understand
agencies/organizations and their relationships.

As argued by Gerspacher and Dupont (2007) in their studies about international police
cooperation and transnational security networks, this kind of network is regularly
presented as an alternative to hierarchical structures of governance since it can be more
flexible, adaptable, and dynamic than hierarchies (p. 348). The adaptability, possibility
of redundancy, and decentralised nature of networks can make them resilient to multi-
agency efforts: removal of some members or even one part of the network will briefly
impair the activities, but not stop the operational work of the whole network.

Therefore, for the purpose of this study,

Multi-agency network is a group of interconnected agencies with their respective

members who work together and share resources, services, procedures, values,
information, knowledge, and other relevant elements.

Notwithstanding, the complexity of multi-agency networks can significantly vary from

one scenario to another and come in all sizes and shapes since local partnerships and
regional groupings until transnational organisations. For instance, past decades have

51
observed a change towards more international cooperation toward crescent involvement
of different types of agencies, such as NGOs, multinational corporations, humanitarian
organisations, and philanthropic foundations (Payler and Georgeson, 2013; Tallberg et
al., 2014). In fact, the globalised world is characterised by multi-agency networks and
their interorganizational relationships that engages many nation-states, civilian and
military agencies, and various actors connected in a transnational dimension (Babiak,
2009; Chatzigianni, 2006; Ergun et al., 2014). This demand for world-wide networks is
reinforced by Happaerts et al. (2011) when they argue that in the global context, a
transnational multi-agency network plays a noteworthy role influencing actions and
decisions of nation-states and forming a multilateral structure to foster cooperation based
upon common interests, needs, and aspirations.

Even in the multifaceted context of international disaster management, it is possible to

recognise some pillars to facilitate the network workflow: (1) cooperation; (2) reciprocity;
(3) mutual trust; (4) willingness to share resources, services, information, knowledge, and
values among diverse agencies (Nogueira, 2015b). As discussed by Janssen et al. (2010),
disaster management engaging multi-agency networks requires collaborative work
among geographically distributed NGOs, public and private agencies to allow a fast,
effective, and efficient response to disaster. Moreover, before, during, and after a
transnational crisis or disaster, multiple independent agencies need to construct a global
network across the operational, tactical and strategic echelons affecting actions and
decision-making in all levels. Kapucu and Van Wart (2006) also underline that a high-
performance disaster response system calls for more than contingency plans and formal
relationships because it requires the creation of multi-agency operational networks to
ensure interactions and auto-adaptation between agencies.

In the context of transnational disasters, the creation of multi-agency networks permits

the use of technology such as computational systems and databases or the creation of new
tools that facilitate the sharing and pooling of scarce resources and services, in that way
avoiding duplication of efforts. In fact, international agencies usually use multi-agency
networks to cooperate sharing resources, services, data, and information that cannot be
matched singly or by vertical command-and-control hierarchy. An example of multi-
agency network for transnational disaster in the context of INTERPOL is shown in Figure
2.3.

52
 IMO ICAO

IFRC ICMP

UN ICC

Global
Agencies
Safran EUROPOL

UNIVDUN AMERIPOL

Cogen ASEANAPOL
Private Regional
Agencies
INTERPOL Agencies
CCLD
CARICOM

Normeca
Plassdata SADC
FRONTEX
National
Agencies

UKFA ENSP

NAUSS HSA

Figure 2.3 – An example of INTERPOL’s multi-agency network for transnational disasters

The multi-agent network in Figure 2.3 represents a realistic mapping of 22 agencies (see
abbreviation and acronyms list presented in this thesis) that work together with
INTERPOL in cases of transnational disasters. It is not an exhaustive list with all partners,
but it represents the major agencies that have formal and official international cooperation
agreements with INTERPOL.

However, the construction of multi-agency networks in which various agencies work and
act together is a complex task and they may duplicate efforts and fail to achieve the
established aims and missions. In addition, there is a structural and cultural fragmentation
because different agencies can have different missions, roles, responsibilities, and cope
with rigid institutional identities, views, and priorities (Smith and Elliott, 2007; McMaster
and Baber, 2012). The creation of multi-agency networks for transnational disasters is not
an easy task; there are problems and barriers already identified by several researchers and

53
scholars (Nogueira, 2015d; Smith and Elliott, 2007, Vitoriano et al., 2013). Hence, it is
important to identify the potential major barriers to building multi-agency networks for
transnational disasters. Table 2.1 presents a list of barriers faced in transnational disasters
categorised by levels6 (operational, tactical, or strategic) and types of adjust (time,
complexity, and action). This table was developed from key authors in the literature
review such as Coppola (2015), McMaster and Baber (2012), Nogueira (2015d), Pauchant
and Mitroff (1988), Smith and Elliott (2007), Turner (1976) as well as from multiple
sources of data, mainly during interviews and focus groups.

Table 2.1 – Barriers to build multi-agency networks for transnational disasters

Level Barriers Adjusts Sources
Strategic - Rigidity in institutional beliefs Duration:
Coppola (2015);
- Long
McMaster and
- Rigidity in legal frameworks
term
Baber (2012);
- Non-alignment between Nogueira (2015d);
Complexity: Pauchant and
organisational priorities
- High Mitroff (1988);
- Multiple objectives between agencies Smith and Elliott
Action: (2007);
- Lack of coordination between
- Non- Turner (1976);
agencies routine Interviews;
Focus groups.
- Lack of shared responsibility between
agencies
- Network infidelity between agencies
- Institutional competition between
agencies
- Distrust between agencies
- Different interests between agencies
- Failure to fully integrate civilian and
military forces in all disaster phases

Tactical - Lack of common assessment Duration: Coppola (2015);

- Medium McMaster and
- Lack of knowledge on the roles and
term Baber (2012);
core values of other agencies Nogueira (2015d);
Complexity: Pauchant and
- Tendency to minimize emergent
- Medium Mitroff (1988);
danger Smith and Elliott
Action: (2007);
- Neglect of outside complaints
Turner (1976);

6
In the context of INTERPOL, strategic barrier is relating to the identification of overall obstacles and the
means of overcome them in long-term. Tactical barrier is relating to identification of medium-term
obstacles and lesser in importance than those of a strategy or an overall purpose. Operational barrier is
relating to the routine obstacles and the means to overcome them in short-term.

54
 Level Barriers Adjusts Sources
- Failure to integrate existing systems - Non- Interviews;
routine Focus groups.
and databases
- Lack of integrated systems

Operational - Use of ad hoc teams Duration: Coppola (2015);

- Short McMaster and
- Lack of knowledge on the
term Baber (2012);
responsibilities and competencies of Nogueira (2015d);
Complexity: Pauchant and
each agency and its actors
- Low Mitroff (1988);
- Difficult to comply with norms and Smith and Elliott
Action: (2007);
regulations
- Routine Turner (1976);
- Ineffective communication and Interviews;
Focus groups.
warnings
- Response systems crushed by the
scale of the emergency
- Difficulties in information handling
- Lack of systematic monitoring of data
- High staff turnover

2.5 Transnational cooperation

After the review of literature on multi-agency networks the next step of the conceptual
development of this study is to critically reflect upon the transnational cooperation. First,
proving an overview on transnational cooperation. Second, presenting the transnational
cooperation in the police context, using INTERPOL as example. Third, identifying
barriers and facilitators to effective transnational cooperation in disasters.

2.5.1 Overview

For this study,

Transnational cooperation is the action or process of working together to the

same end across organisational borders.

For decades, cooperation agreements engaging nations and subnational entities such as
regions, states or provinces have created transnational associations based on common
interests and multilateral decision-making, noticeably in Europe (Grande and Peschke,

55
1999; Happaerts et al., 2011). Indeed, transnational cooperation can support individual
actors to progress their local/regional development policies by learning from the good
practices, innovative resources, services, and technologies used by other partners within
the multi-agency network (Colomb, 2007). As per Rohrschneider and Dalton (2002), the
transnational cooperation creates new political opportunities to reinforce the formation of
international networks particularly in developing nations.

From the disaster management perspective, transnational cooperation can be used from
different forms: emergency, humanitarian, police, development, volunteerism, funding,
and so on. In the last decade, the necessity for transnational cooperation before, during,
and after natural or man-made disasters has substantially increased. This rise demands
governments to work with civil society and NGOs, and a solid cooperation of several key
international agencies is crucial to the success of effective response since many of these
agencies have a vast experience on disasters and regularly assist their counterparts in
different events and situations (Coppola, 2015). Chan (2008) adds that for multi-agency
networks to truly represent global civil society, they must exhibit transnational
cooperation across organisational, social, political, and cultural cleavages generating a
collective identity. In effect, transnational cooperation enables more effective disaster
response and becomes vital because resources are limited and time is critical in disaster
management. Therefore, the capacity of international agencies (e.g. INTERPOL, UN,
IFRC, ICMP, Doctors Without Borders, CARE International, World Vision International,
etc.) to assist transnational disasters depends on their ability to cooperate with all
stakeholders (Kapucu, 2005). For example, major catastrophes such as Malaysia Airlines
aircraft crash in Ukraine (2014), Philippines Typhoon Haiyan (2013), New Zealand
Earthquake (2011), Haiti Earthquake (2010), Air France aircraft crash in Atlantic Ocean
(2009), Cyclone Nargis (2008), Hurricane Katrina (2005), and Indian Ocean tsunami
(2004) illustrate very well the relevance of a transnational cooperation among agencies,
organisations, communities, and countries.

2.5.2 Transnational cooperation in the police context

Few, if any, countries are capable of containing all types of transnational crimes and
disasters by itself – not even those occurring on its own territory. The trend toward the
emergence of transnational disasters obligates law enforcement agencies to create cross

56
borders cooperation mechanisms, including partnerships with non-governmental and
private organisations (Betts, 2013; Nogueira, 2016). Indubitably, the successful
international police cooperation demands collaboration among international, regional,
and local organisations. For example, INTERPOL has the mission of prevention and
response to disaster through enhanced cooperation and innovation. To ensure this
cooperation, each INTERPOL member country indicates a national body, so called as
National Central Bureau (NCB), which ensures a connection with the various departments
in the country, NCBs in other countries, and the INTERPOL's General Secretariat.
Without a systematic cooperation between national police and international police
organisations – IPOs (e.g. INTERPOL, EUPOPOL, AMERIPOL, ASEANAPOL) the
global assistance in transnational disasters becomes more difficult and ineffective
(Gerspacher, 2005; Gerspacher and Dupont, 2007).

2.5.3 Operationalization of transnational cooperation through disaster teams

A practical scenario upon how to operationalize a transnational cooperation through

disaster teams is provided by INTERPOL. For example, INTERPOL operationalizes its
disaster response to member countries through Incident Response Team (IRT). The name
of the IRT can vary according to the organisation and specialised ability; for instance,
response team, emergency team, CBRNE response team, field assessment coordination
teams, and so on. At INTERPOL, an IRT is comprised of a specialised group of people
to deal with incident responses (INTERPOL, 2014c; Martha, 2010). It is deployed at the
request of a member country and has expert police officers and support staff from
INTERPOL headquarters and member countries. Usually, an IRT is part of specialised
organisational units (e.g. command and control, forensic, IT, logistics, etc.) providing
support and offering specialised assistance into the incident area. It is tailored to the
specific nature of the crisis and the type of assistance that INTERPOL is requested to
provide. An IRT can be briefed, equipped and deployed anywhere in the world within 12
to 24 hours of an incident. There are two types of IRTs at INTERPOL: IRT for disasters
and IRT for crimes. IRT for disasters is an emergency response team for a man-made or
natural disaster. This IRT delivers concentrated attention to urgent issues and problems
arising from the disaster, focusing all available INTERPOL resources, services, and
governance mechanisms on the situation at hand. This kind of IRTs is able to reach the
affected area and send information back to the headquarters. IRT for crimes involves the

57
deployment of specialised personnel to provide specific expertise and investigative
support to national police.

Nonetheless, there are key principles applied to ensure the transnational cooperation in
police matters.

(I) Sovereignty

The main principle to accomplish the transnational cooperation is the sovereignty

principle, which means that

“A nation-state is an independent actor within the international system and has the right
and power to govern itself without any intervention from outside sources” (Gottlieb, 2011,
p.146).

Therefore, the transnational cooperation process is taken by the IPOs in member states,
within their own national boundaries and in accordance with their own national laws, but
in respect with the public international laws.

(II) Respect of human rights

“The respect of fundamental human rights to ensure and promote the widest
possible mutual assistance between all police authorities within the limits of the
laws existing in the different countries and in the spirit of the Universal
Declaration of Human Rights” (Martha, 2010, p.212).

(III) Neutrality

“It is strictly forbidden for the Organization to undertake any intervention or

activities of a political, military, religious or racial character” (INTERPOL,
2014b).

(IV) Data protection

“…The respect of data protection standards takes into account the laws existing
in its country, in conformity with the international conventions to which it is a
party, and with the Organization's Constitution” (Gottlieb, 2011, p.162)

58
2.5.4 Barriers to effective transnational cooperation in disasters

The barriers to effective and efficient transnational cooperation are the same presented to
multi-agency network (Section 2.4). However, it is possible to highlight some of them
that are crucial to create a transnational cooperation process at INTERPOL.

Firstly, there is a serious barrier/limitation in thinking transnational cooperation concerns

only the strategic level. For example, Luo et al. (2010) contends that transnational
cooperation refers to strategic cooperation between international agencies and local
agencies in transnational business. However, effective transnational cooperation does not
only arise in the strategic aspect, other degrees of cooperation need to be established
across the different levels of management. The conjunction of operational, tactical, and
strategic facilitators leverages and accelerates the creation of a strong transnational
cooperation within the international environment.

Secondly, there is a barrier to integrate different agencies, especially in terms of civilian–

military cooperation. Civilian organisations traditionally have resistance to directly
cooperate with military forces (Coppola, 2015; Ergun et al., 2014) due to different
reasons. For instance, they have consternation that such cooperation can corrupt their core
values and principles, including the perception of impartiality (neutrality) and
independence; they have fear that military forces attempt to take over the relief and aid
operation, impeding them from aiding the target communities; they simply have bias to
work with the military, based on their negative past experiences, ideological or political
differences. Nonetheless, many civilian organisations have realized that there are
important resources and services that only the military can provide. For example, the
military has heavy equipment (e.g. ships, airplanes, helicopters) to transport response and
recovery supplies and materials, as well as employees of civilian organisations, to the
affected areas. The military also has the technological resources and advanced mobile
communications capacity in situations where infrastructure is damaged, broken, or
destroyed. On the other hand, the military often believes that civilian organisations
(mainly NGOs) are uninformed, ineffective, inefficient, and that only interfere without
actually acting any valuable service. Therefore, these barriers between civilian
organisations (public, private, and non-governmental) and military forces need to be
overcome to have an effective and efficient cooperation in transnational disasters.

59
Thirdly, despite the advances in cooperation, there is also a lack of knowledge on the
roles, responsibilities and competencies of each agency acting in a crisis or disaster. This
fact has often generated attritions and conflicts, and should be eliminated during the
preparedness phase. For instance, the DVI in routine disasters is often carried out by local
agencies, however when a transnational disaster occurs with victims from foreign
countries the DVI services need to be carried out by accredited international organisations
such as INTERPOL, ICMP, UN, and international forensic institutes. Consequently,
without the results of these accredited international agencies some governmental
organisations and private companies cannot give full assistance to the family of victims,
such as repatriation of bodies, life assurance, and social benefits.

2.5.5 Facilitators to effective transnational cooperation in disasters

Transnational cooperation has helped the world community to more effectively manage
risk reduction and limit the impacts of natural and man-made disasters. Nonetheless, the
establishment of a clear link between transnational cooperation and its facilitators is a
difficult task. Thus, some scholars and practitioners have identified and disclosed
different facilitators of cross border cooperation (Coppola, 2015; Elliott, 2009; Nogueira,
2015d). Analysing these authors and based on my practical experiences managing dozens
of disasters all over the world under umbrella of INTERPOL is possible to posit that
promote and strengthen cooperation in the activities of mitigation, preparedness,
response, and recovery to transnational disasters should identify different facilitators as
presented in Table 2.2, categorised by levels: operational, tactical, or strategic.

This table was developed from key authors in the literature review. For example, Coppola
(2015) and Vitoriano et al. (2013) disclose as facilitators (1) share information and
technology; (2) promote information exchange through collective agreements; (3) Ensure
concurrent, interoperable, and real-time communication; (4) integrate the existing
systems and databases; (5) avoid high staff turnover. McMaster and Baber (2012)
acknowledges some facilitators such as (1) strong multi-agency networks; (2) collective
mechanisms of command; (3) collaborative mobilisation of resources and services; (4)
share information and technology; (5) multilateral agreements. In turn, Elliot (2009)
reveals as facilitators (1) promote policy harmonization and standardization of norms,
regulations, and procedures; (2) disclose the key norms, regulations, and agreements.

60
Nogueira (2015d) also presents a list of facilitators in his in-depth study, such as: (1)
construct a strong multi-agency network, based on trust and fidelity; (2) align the
institutional priorities into the multi-agency network; (3) encourage collective and
collaborative mechanisms of command, coordination and control; (4) systematic
monitoring of data and information; (5) operate under multilateral agreements; (6)
produce common assessment reports and action plans. The other facilitators listed in
Table 2.2 emerged from multiple sources of data such as interviews and focus groups.

Table 2.2 – Facilitators to develop transnational cooperation in disasters by level of management

Level Facilitator Sources

Strategic - Create a crisis and disaster management framework Coppola (2015);

Elliott (2009);
to facilitate transnational cooperation
McMaster and
- Construct a strong multi-agency network, based on Baber (2012);
Nogueira (2015d);
trust and fidelity
Vitoriano et al.
- Align the institutional priorities into the multi- (2013);
Interviews;
agency network
Focus groups.
- Change the leadership style of management from
serial, individual, and controlling leadership to the
strengthening of concurrent, collective, and
collaborative leadership
- Encourage collective and collaborative mechanisms
of command, coordination and control
- Joint strategy development
- Share responsibilities between agencies
- Make the institutional beliefs more flexible
- Promote policy harmonization and standardization
of norms, regulations, and procedures
- Stimulate mutual assistance agreements
- Proactively act anticipating funding arrangements
- Social appeal from media, society, and key
stakeholders
- Integrate civilian and military forces in all disaster
phases

Tactical - Disclose the key norms, regulations, and agreements Coppola (2015);
Elliott (2009);
- Disseminate the roles and core values of each agency
McMaster and
Baber (2012);

61
 Level Facilitator Sources

- Collaborate on capacity-building and training Nogueira (2015d);

Vitoriano et al.
(institutional and human)
(2013);
- Prepare a shared mobilisation and logistics of Interviews;
Focus groups.
resources and services
- Share information and technology
- Promote information exchange through collective
agreements
- Ensure concurrent, interoperable, and real-time
communication
- Ensure effective warnings systems
- Integrate the existing systems and databases
- Create new integrated systems of data, information,
and knowledge

Operational - Avoid ad hoc incident response teams Coppola (2015);

Elliott (2009);
- Avoid high staff turnover
McMaster and
- Systematic monitoring of data and information Baber (2012);
Nogueira (2015d);
- Operate under multilateral agreements
Vitoriano et al.
- Produce common assessment reports and action (2013);
Interviews;
plans
Focus groups.
- Undertake training/exercises and simulations on the
equipment, protocols, and procedures used before,
during, and after disaster
- Give due value to all evidence found in the field
- Hear the stakeholders' complaints

2.6 Conclusion

This chapter provided an explanation of why the structure of this thesis took this form.
This structure was based on the review of literature and the personal experience of the
researcher and their influences upon conceptual development related to four core topics
mentioned previously: crisis management, disaster management, multi-agency network,
and transnational cooperation. These topics were identified as the conceptual structure
from the literature review and personal experience that would support the development
of the research questions shown in Section 1.4 along with the key factors to consider in

62
developing a crisis management framework for INTERPOL to effectively manage all
phases of transnational disasters: preparedness, response, recovery, and mitigation (see
Section 2.3.4). Figure 2.1 graphically shows the conceptual structure comprised of the
four core topics that supported the development of the research questions related to (1)
the governance mechanisms; (2) the resources and services; (3) the main stakeholders;
(4) the finance and fund arrangements; (5) the formal and informal relationships; (6) the
potential barriers and facilitators. In addition, Figure 2.1 also presented the six
complementary research questions as key factors to consider in developing a crisis
management framework in order to develop the central research question. Therefore, the
conceptual structure presented in Figure 2.1 was done in conjunction with the
development of the research questions and it was an iterative process since any change to
the conceptual structure entailed the reformulation the literature review to ensure its
consistency and accuracy. Furthermore, this chapter aimed to provide the reader with an
orientation upon the origin of crisis management since its early studies. A sample of the
different interpretations to the study of crisis management was depicted. The chapter also
presented the origins of disaster management and the different approaches to disaster
management: cognitive context, processual context, multi-agency context, and the
approach used in this thesis. This chapter identified that there is a difference between
disaster management and crisis management. It also offered a clarification on the disaster
management phases and shown how they evolve as a cycle engaging preparedness,
response, recovery, and mitigation (see Figure 2.2). This chapter expanded its focus to
consider disasters as part of a multi-agency network. Some pillars to facilitate the network
workflow were recognized and an example of multi-agency network for transnational
disasters was represented taking into account the relationships between INTERPOL and
multiple agencies. This chapter also provided an in-depth study on how to develop
transnational cooperation. It considered transnational cooperation in the police context,
operationalization of transnational cooperation through disaster teams, and the main
barriers and facilitators to build multi-agency networks for transnational disasters.

63
Chapter 3
Methodology
3.1 Introduction

In this chapter, the philosophical positions with their ontological and epistemological
perspectives, the modes of research, reasoning and inquiry are outlined and elaborated
upon a theoretical scaffolding. There are some fundamental reasons why a comprehension
of theoretical and philosophical issues is very valuable. Firstly, it can provide
clarifications on the research design. This not only engages what kind of data are required
and how it is to be collected and analysed, but also how this will offer useful answers to
the essential questions being investigated in the research (Easterby-Smith et al., 2012;
Johnson and Duberley, 2000). As per Creswell (2013), philosophy in research shapes how
to formulate problems and research questions to study and how to seek information to
answer the questions.

3.2 Philosophical scaffolding

Philosophy means the study of the theoretical basis of a particular branch of knowledge
or experience (Oxford University Press, 2015). In the context of the research design,
Creswell (2013, p.16) states that philosophy is “the use of abstract ideas and beliefs that
inform our research”. There are a number of philosophical positions which have been
studied by different schools of thought such as positivism, empiricism, pragmatism,
interpretivism, social constructionism, critical theory, structuration theory, hermeneutics,
conventionalism, postmodernism, and so on (Johnson and Duberley, 2000). The intention
of this section is to place this doctoral study within the philosophical positions, including
ontology, epistemology, mode of research, mode of reasoning, and mode of inquiry
according to their characteristics and constitutive elements. Therefore, this thesis created
a theoretical and philosophical scaffolding in five phases according to Table 3.1.

64
Table 3.1 – Phases to build the theoretical and philosophical scaffolding
Phase Description
Ontology
1. - Positioning the study among the three ontological approaches: realism, relativism, or
nominalism.
Epistemology
2. - Positioning the study between the two epistemological paradigms: positivism or
interpretivism
Mode of research
3.
- Positioning the study between the two modes of research: pure (mode 1) or applied (mode 2)
Mode of reasoning
4.
- Positioning the study between the two modes of reasoning: deductive or inductive
Modes of inquiry
5.
- Positioning the study between the two modes of inquiry: qualitative or quantitative

3.2.1 Ontology

Ontology is a branch of philosophy that is concerned with the nature of the world and
existence (Lewis-Beck et al, 2004). According to Thorpe and Holt (2008), research uses
ontology to take a position on – what there is to know (what the world is). Easterby-Smith
et al. (2012) states that there are three main ontological perspectives: realism (also called
as representationalism or objectivism), nominalism, and relativist. This doctoral research
is situated in relativism since it assumes that reality is a dynamic spectrum of interactions
of INTERPOL members where different observers may have different viewpoints and
multiple realities according to social conditions and contexts (Easterby-Smith et al.,
2012).

Relativism

Realism Nominalism

Figure 3.1 – Ontological perspective

Legend: The sign denotes the position of this study

65
3.2.2 Epistemology

Epistemology is the branch of philosophy concerned with the nature of knowledge, its
justification, and how it is acquired (Lewis-Beck et al, 2004). There are two main
epistemological approaches in management research: positivism and interpretivism
(Easterby-Smith et al., 2012). Positivism sets out that the only legitimate source of
knowledge are sense data, through which reality is experienced (Thorpe and Holt, 2008),
and that its properties should be measured through objective methods (Easterby-Smith et
al., 2012). On the other hand, interpretivism refers to epistemologies about how it is
possible to gain knowledge of the world, which rely on interpreting or understanding the
meanings that people assign to their concepts and actions, as advocated by Lewis-Beck
et al, (2004). This doctoral research has the social constructionism as epistemological
position because it suggests that the social realities, identities, and knowledge are created
and maintained in interactions of multi-agency networks comprised of INTERPOL
members and the main stakeholders.

Positivism Social Constructionism

Figure 3.2 – Epistemological position

3.2.3 Modes of research

The literature presents two modes of research: mode 1 and mode 2 (Creswell, 2013;
Easterby-Smith et al., 2012). Mode 1 (also called as pure research) draws attention on the
creation of theoretical knowledge characterised by homogeneity, objectivity,
experimentation, value-free, theory-based focus. Mode 2 (also called as applied research)
concentrates on the creation of knowledge through direct involvement with social practice
in the context of application. This doctoral study uses mode 2 because it is focused on
social practise of disaster management applied in the context of INTERPOL and it is
characterised by heterogeneity, value based on social structures, diversity, and reflexivity.

Mode 1 (Pure) Mode 2 (Applied)

Figure 3.3 – Mode of research

66
3.2.4 Modes of reasoning

There are essentially two modes of reasoning in scientific research: deductive and
inductive (Easterby-Smith et al., 2012). Deductive or theory-testing reasoning uses theory
as a foundation for the development of testable hypotheses. Inductive (also called as
theory-building reasoning) is the process of discovering a general principle from a set of
concepts, facts, ideas, themes, and patterns. This doctoral research is identified as
inductive reasoning because it is based on interpretations of INTERPOL members those
experiencing the phenomenon under study moving from research participants’ viewpoints
to conclusions about general principles, as advocated by Creswell (2013).

Deductive Inductive

Figure 3.4 – Mode of reasoning

3.2.5 Modes of inquiry

There are two modes of inquiry in scientific research: quantitative and qualitative
(Creswell, 2013; Easterby-Smith et al., 2012). Quantitative inquiry refers to approaches
to empirical inquiry that collect, analyse, and display data in a numerical form whose
findings may be expressed numerically and manipulated mathematically enabling the
researcher to estimate future events or quantities. On the other hand, qualitative inquiry
is a set of actions toward strategies for conducting inquiry that are aimed at discerning
how human beings understand, experience, interpret, and produce the social world. This
doctoral study is identified as qualitative because it is used to explore the transnational
disaster phenomenon under the context of INTERPOL in order to capture the
interpretations, meanings, thoughts, and social values that make the crisis and disaster
management at INTERPOL more visible, as argued by Johnson and Duberley (2000).

Quantitative Qualitative

Figure 3.5 – Mode of inquiry

67
3.3 Research design

The design of an appropriated research approach is an important step to produce an

effective and efficient doctoral study. Creswell (2013) argues that qualitative researchers
need to anticipate and plan taking into account the diversity in their qualitative studies.
Based on different topics discussed in qualitative research design provided by several
authors (Creswell, 2013; Easterby-Smith et al., 2012; Thorpe and Holt, 2008) this
qualitative study proposes a social constructionist research plan that includes
preparedness and general considerations, research strategy, data collection, data analysis,
data triangulation, cross-case analysis, sense making, and research generalizability. At
last, it is important to highlight that this plan is based on the general structure of a
qualitative research design plan suggested by Creswell (2013, p.61-62).

3.3.1 Preparedness and general considerations

(I) Statement of the research problem

The lack of a crisis management framework for INTERPOL to manage transnational

disasters.

(II) Purpose of the study

The purpose of this qualitative research using case studies is to develop a comprehensive
framework to facilitate INTERPOL’s crisis and disaster management and understand
transnational disaster in a multi-agency context.

(III) Research questions

Central question
- What are the key factors to consider in developing a crisis management framework
for INTERPOL in order to support the management of transnational disasters?

Complementary questions
- What are the governance mechanisms adopted by INTERPOL to manage
transnational disasters?
- What resources and services does INTERPOL mobilise in transnational disasters?
- Who are the key stakeholders in cases of transnational disasters?

68
- What are the finances and funding arrangements used by INTERPOL in cases of
transnational disasters?
- How does INTERPOL create formal/explicit and informal/tacit relationships within
the crisis and disaster management?
- What are the barriers and facilitators to manage transnational disasters under umbrella
of INTERPOL?
These complementary questions are in the Interview Form presented in Appendix B.

(IV) Limitations

A limitation of this study includes the sole focus of the sample being from INTERPOL,
i.e. the absence of data from participants from other international agencies. Future studies
might examine opinions of other stakeholders in order to create a detailed framework that
might have broader application in different international organisations. To improve the
usability of the framework in other settings, it will need to be applied in other
organisations and cultures to determine if there is any validity beyond the sample chosen
for this research. Hence, this research effort could lead to other investigations such as the
direct involvement of other external interviewees that could provide more information on
the strategic, tactical, and operational levels.

As argued by Creswell (2013) and Easterby-Smith et al. (2012), in a qualitative study is

not possible to be completely free of bias. Therefore, in a couple of interactions within
interviews and focus groups for this research, it was necessary to exercise restraint and
avoid injecting personal opinion into a conversation. Being a director of INTERPOL
specialised in crisis and disaster management, personal experience with disaster situations
has provided this researcher with a passion to conduct this research, but it was vital to
avoid personal opinions in interviews and focus groups, particularly when people shared
opinions that were contrary to the researcher’s personal perceptions of how to manage a
disaster. In order to avoid this kind of bias, this researcher undertook briefings before the
interviews and focus groups explaining that he was as researcher and not as director. This
motivated the interviewees to provide their honest opinions, and gave neutral feedback
upon the answers of respondents, for example using phrases such: “that’s helpful”, “that
is important for this research”, “thank you”.

The framework presented in this thesis is a compilation of interviews, focus groups, and
physical artefacts made from the participants, and may not be apply directly to other types

69
of disasters rather than transnationals, but it may provide an opportunity to start a further
reflection about findings and how they may be managed in different environments.

3.3.2 Research strategy

An essential step in the research design is defining a strategy to inquiry. It is necessary to

identify one approach to qualitative inquiry in order to present it as a sophisticated study
with theoretical rigour and practical relevance, to offer it as a contextualized research so
that other academics and reviewers may properly understand, use and assess it. The great
question that emerges is “which qualitative research strategy can be more useful for this
thesis in theoretical and practical sense?” Therefore, before choice a qualitative research
strategy for this thesis, it was studied, analysed, and evaluated five of them: narrative
research, phenomenology, grounded theory, ethnography, and case study (Easterby-
Smith et al., 2012; Thorpe and Holt, 2008).

After examining these five qualitative strategies and their characteristics, this thesis used
the case study (Stake and Savolainen, 1995; Yin, 2009) to develop and investigate the
research problem and its related questions. Case study is “an empirical inquiry about a
contemporary phenomenon (e.g., a “case”), setting within its real-world context” (Yin,
2009, p.18).

The rationale to select case study as research strategy to inquiry is because this thesis
intends to

(1) study multiple cases of transnational disasters involving real-life contexts;

(2) delimitate the multiple cases by space and time;

(3) have an in-depth study of actual transnational cases selected to better understand the
investigated problem and research questions;

(4) use multiple methods of qualitative data collection and analysis augmenting the
validity of the research;

(5) have a better understanding on different concepts and categories;

(6) describe the complexity of the cases through identification of themes into a bounded
system;

70
(7) analyse across cases to figure out similarities and differences in order to identify
behaviour patterns and use them as a common framework for analogous cases.

3.3.3 Data collection

This thesis created a new data collection process developed to multiple cases studies
based on Creswell (2013) and Yin (2009) which shows a sequence of data gathering
activities that take place in qualitative research designs. Therefore, in this thesis, the data
collection process is comprised of the following stages: gaining access and permission,
sampling, collecting data, recording data, and storing data (see Figure 3.6).

Gaining
Storing Data Access and
Permission

Recording
Sampling
Data

Collecting
Data

Figure 3.6 – Data collection process developed to multiple case studies

(I) Gaining access and permission

As a qualitative research, it was necessary to gain access and permission to study the sites
in a way that enabled an easy collection of data. Accesses and permissions were facilitated
because this researcher works as senior manager at the examined organisation,
INTERPOL, hence having access to several materials for this data collection. The
template of the Participant Consent Form used in this research are in Appendix A. This
template is an adaptation of that suggested by University of Liverpool.

(II) Sampling

According to Easterby-Smith et al. (2012), the case study looks in depth at one, or a small
number of cases, over the time. In turn, Creswell (2013) advocates that case study
research is a qualitative approach in which the researcher explores a real-life bounded
system (a single case, within-site study) or multiple bounded systems (cases, multisite

71
study) where researchers typically choose between two and four cases. In addition, this
doctoral research used a maximum variation sampling (Creswell, 2013, p.298) to develop
a multisite study examining 02 (two) different real-life cases of transnational disasters
under umbrella of INTERPOL. The criteria used to include the research cases were that
they are different types of disasters, mass fatalities involving different foreign nationals
configuring a transnational disaster, full participation and development of INTERPOL,
national interest demonstrated via request or appeal to INTERPOL, multi-agency
cooperation, plentiful amount of data, and international social repercussion.

72
 Disaster:
Tsunami
Type of disaster:
Natural and open disaster
Site of accident:
Epicenter off the west coast of
Sumatra, Indonesia
Coordinates:
3.316°N, 95.854°E
Date:
26th December 2004
Time:
00:58 UTC
Image source: www.bbc.co.uk

Triggering event:
The Eurasian and Indo-Australian tectonic plates collided deep under the Indian Ocean
causing a 9.0 magnitude earthquake, 240 kilometres (150 miles) off the coast of
Sumatra displacing hundreds of cubic kilometres of water. This volume then moved
away from the epicentre as a series of waves generating a tsunami that caused mass
fatalities and havoc along much of the coast of the Indian Ocean. This tsunami affected
13 countries, mainly Indonesia, Sri Lanka, India, and Thailand.

INTERPOL mobilisation:

Thailand

Other relevant information:

5,395 fatalities confirmed in Thailand, approximately 2,400 were foreign nationals

from 36 different nations. It was estimated 280,000 causalities by this tsunami across
the 13 nations affected (INTERPOL, 2014d). INTERPOL participated together with
several international, regional, national, and local agencies.

Figure 3.7 – Case 1: Tsunami in the Indian Ocean

73
 Disaster:
Air crash
Type of disaster:
Man-made and closed disaster
Site of accident:
Atlantic Ocean, near Fernando de
Noronha island, Brazil
Coordinates:
3°03′57″N 30°33′42″W
Date:
1st June 2009
Time:
02:14 UTC
Image source: www.bbc.co.uk

Triggering event:
On 31 May 2009, the Airbus A330 flight AF 447 took off from Rio de Janeiro, Galeão
airport to Paris, Charles de Gaulle airport. The airplane was in contact with the
Brazilian control centre and the last know position was on 1st June at 2h08min. On 1st
June 2009, at around 2h14min the aeroplane was in a stall situation that lasted until the
impact with the sea.

INTERPOL mobilisation:

Brazil

Other relevant information:

228 fatalities, 169 were foreign nationals from 33 different nations (INTERPOL, 2014d
INTERPOL participated together with some international, national, and local agencies.

Figure 3.8 – Case 2: Air crash of Air France flight 447

74
(III) Collecting data

As per Creswell (2013), a major strength of case study data collection is the opportunity
to use many different sources of data (e.g. interviews, focus groups, documentations,
audiovisual materials, etc.) describing multiple perspectives about the case. In the same
vein, Yin (2009) contends that the use of multiple sources of data in case studies enables
a researcher to address a wide range of historical, attitudinal, and behavioural issues
developing converging lines of inquiry. In this research, four different sources of data
were used: interviews, focus groups, documentations, and audiovisual materials. More
details on these sources used in both case studies can be seen in Tables 3.2-3.3.

Interviews

One of the most relevant sources of case study data is the interview (Vissak, 2010; Yin,
2009). Stake and Savolainen (1995) states that two principal uses of case study are to
obtain the descriptions and interpretations of others, and the interview is the main road to
qualitative researchers discovery and portray multiple realities.

Type of interview. In this research, it was chosen semi-structured in-depth interview

(Easterby-Smith et al., 2012; Yin, 2009). Semi-structured is a kind of guided open
interview where respondents are free to interrupt and be flexible toward issues being
discussed (Easterby-Smith et al., 2012; Yin, 2009). In turn, in-depth interview is a kind
of interview that provides an opportunity to probe deeply a rich and real life experience
on the cases as well as open up new dimensions and insights from respondents (Easterby-
Smith et al., 2012; Yin, 2009). See details in Table 3.2.

Identifying interviewees. The interviewees were chosen between managers and

specialized officers those who had experience in cases of transnational disasters (i.e. at
least 5 years allocated in the disaster unit of INTERPOL) and according to their
engagement in one or both cases studied in this thesis (case 1-tsunami or case 2-Air
France air crash). Therefore, some interviewees gave their contributions for both cases.
See details in Table 3.2.

Interview form. A paper form with relevant data was collected during the interview, with
title of research, case name, date, time, and place of interview, interviewer, interviewee,
position of interviewee, and research questions. This research used open-ended questions
on the cases in the study, as advocated by several authors (Creswell, 2013; Stake and

75
Savolainen, 1995; Yin, 2009). See the interview form in Appendix B. Furthermore,
interviewee’s field notes were read in detail during the interviews.

Focus Groups

This study involved the use of multiple sources of data – physical artefacts, interviews,
and focus groups – together with the processes of triangulation and axial codding (Yin,
2009) in order to provide corroborating evidence for validating the credibility and
accuracy of the study. It is essential to emphasize that the use of interviews and focus
groups recognizes the value of qualitative research as important instruments to learn with
experiences and social relationships between research participants since they can create
and give meaning within a socially constructed reality (Denzin and Lincoln, 1998).
Interviews do not necessarily need take place on a one-to-one basis, and for some types
of investigations, such as this doctoral research, focus groups can be very useful since it
takes the form of loosely structured discussion group held with selected participants
(Easterby-Smith et al., 2012; Yin, 2009). The idea of focus groups in the data analysis
was to promote self-disclosure among participants concerning a specific issue on the case
(Creswell, 2013). Thus, this research adopted group interviews with research participants:
two focus groups, 45-60 minutes each, with 10 staff from INTERPOL (1 senior manager
specialised in DM, 1 senior manager specialised in DVI, 8 specialised officers in
disasters) for case 1. In addition, this research also adopted group interviews for case 2:
two focus groups, 45-60 minutes each, with 8 staff members from INTERPOL (1 senior
manager specialised in DM, 1 senior manager specialised in DVI, 6 specialised officers
in disasters). The focus group participants were chosen between managers and specialized
officers those who had experience in cases of transnational disasters (i.e. at least 5 years
allocated in the disaster unit of INTERPOL) and according to their engagement in one or
both cases studied in this thesis (case 1-tsunami or case 2-Air France air crash). Thus,
some interviewees gave their contributions for both cases as well as participated of
different focus groups. Details on the focus groups conducted in both studies can be seen
in Table 3.2.

It is important to underline that the focus group was chosen in this qualitative research
due to several reasons. First, the interactions among participants provided extra
information. For example, focus groups gave more details about the community affected
by disasters, workplace in the field, response team’s needs, common barriers and
facilitators faced in both cases.

76
Table 3.2 – Method of data collection by participant
Case Method of Participant Place of Data Date of Data
Data Collection Collection
Collection
1 Interviews 10 interviews one-to-one, 60- INTERPOL October/2014 to
90 minutes each, with 10 headquarter in Lyon, April/2015
participants from INTERPOL: France
- 2 senior managers
specialised in DM
- 1 senior manager
specialised in DVI
- 7 specialised officers in
disasters
Focus 2 focus groups, 45-60 minutes INTERPOL October/2014 and
groups each, with 10 staff from headquarter in Lyon, April/2015
INTERPOL: France
- 1 senior manager
specialised in DM
- 1 senior manager
specialised in DVI
- 8 specialised officers in
disasters
2 Interviews 10 interviews one-to-one, 60- INTERPOL October/2014 to
90 minutes each, with 10 headquarter in Lyon, April/2015
participants from INTERPOL: France
- 1 senior manager
specialised in DM
- 1 senior manager
specialised in DVI
- 8 specialised officers in
disasters

Focus 2 focus group, 45-60 minutes INTERPOL October/2014 and

groups each, with 8 staff members headquarter in Lyon, April/2015
from INTERPOL: France
- 1 senior manager
specialised in DM
- 1 senior manager
specialised in DVI
- 6 specialised officers in
disasters

Second, focus groups helped to validate or invalidate the data collected individually in
one-to-one interview. For example, the mobilisations of resources and services mentioned
individually during the interviews were confirmed during the focus groups. Third, focus
groups were useful to clarify and reconstruct individual viewpoints more appropriately.
For example, some individual viewpoints about the facilitators found in both cases were
not so clear and were better explained during the focus group, such as the impact of the
social appeal, operation of the partnership agreements, and development of collective
working for case 1, and deployment of the real-time communication in the field and
functioning of collaborative operation between agencies for case 2.

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In turn, transcripts and field notes were discussed in detail during the focus groups (see
Appendix C). They were critically reflected with focus group participants in order to have
double check of their responses, that is, at the end of each focus group session the
transcripts/field notes and interview forms were read to confirm and validate their
responses.

Documents

Documentation can take many forms – letters, memoranda, agendas, minutes of meetings,
field notes, reports, archival material, records, written formal researches of the same case
under study, hypertext documents in Internet sites, newspaper clippings, and the like
(Creswell, 2013; Stake and Savolainen, 1995; Yin, 2009). Yin (2009) posits that for case
studies, the most important use of documents in data collection is to corroborate and
increase evidence from other sources.

Beyond the advantages to use documentation as data collection method, it was chosen for
this study because there were a vast amount of documents related to both studied cases as
well as this researcher had full access to these documents in their diverse forms of
presentation. See details in Table 3.3.

Audiovisual Materials

The ability to record sound, images and videos provides an outstanding benefit for case
study research due to several reasons (Creswell, 2013; Easterby-Smith et al., 2012). First,
digital sources can store huge quantities of audiovisual data for access by large numbers
of researchers (Lewis-Beck et al, 2004). Second, researchers can use audiovisual
materials to present new perspectives and stimulate discussion and debates between
members of focus groups. Participants talk much more about ideas taking into account
audiovisual materials and this help to develop a more clear understanding of the activities
developed on the case study (Easterby-Smith et al., 2012). Furthermore, Creswell (2013)
recommends audiovisual materials as an elicitation technique to generate new insights
and discussion on the case.

There are several types of audiovisual materials that can be used in qualitative research,
such as photographs, sound records, videos, and most recently the specialised websites

78
(e.g. YouTube, Wikipedia, and media centres in some organisations). In this study, the
audiovisual materials (i.e. photographs and videos) were used as a complementary source
of data and were collected at INTERPOL media centre and Internet (You Tube). More
details see Table 3.3.

Table 3.3 – Method of data collection by physical artefact

Case Method of Physical artefact Place of Data Date of Data
Data Collection Collection Collection
1 Documents 87 documents comprised of INTERPOL October/2014
memoranda, agendas, minutes of headquarter in to May/2015
meetings, reports, archival records, Lyon, France
peer reviewed articles,
presentations, hypertext documents
in Internet sites, and newspaper
clippings collected on the case.
Audiovisual 150 photos of the site, destruction, INTERPOL October/2014
Materials infrastructure, resources, and media centre and to May/2015
activities developed. Internet
10 institutional and public videos
(10-72 minutes each) of site and
activities developed.
2 Documents 38 organisational and public INTERPOL October/2014
documents comprised of field notes, headquarter in to April/2015
reports, archival records, agendas, Lyon, France.
minutes of meetings, presentations, NCB Brasilia in
hypertext documents in Internet Brazil.
sites, and newspaper clippings
collected on the case.
Audiovisual 60 photos of the site, infrastructure, INTERPOL October/2014
Material resources, and activities developed. media centre and to April/2015
Internet
4 institutional and public videos
(15-60 minutes each) of site and
activities developed.

(IV) Recording data

Anonymity, integrity, and confidentiality are key principles of this research. The research
data were maintained on the researcher’s notebook with password. No external computer
was used for data storage. Data was not shared with other organisations. Due to the
anonymity, privacy, and confidentiality principles, no personal information was
disclosed. Data was anonymised at the point of collection. The outcomes of the
interviews, focus groups and field observations were recorded in physical artefacts, such
as such as field notes, interview write-ups, forms, and mapping. Therefore, no sound or
image was recorded in audiovisual devices during the interviews and focus groups.

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(V) Storing data

A vast amount of relevant data about the cases was collected during the curse of this
thesis. Consequently, it was adopted a protocol about data storage that was particularly
well suited for this qualitative research, as shown in Figure 3.9.

• Always make backup copies of the data

1

• Develop a master list with the types of data collected

2

• Create a database that supports information processing

3

• Protect anonymity, privacy, and confidentiality of participant by masking their names

in the database or other data storage method
4

• Maintain the chain of evidence (data path) that means to follow the derivation of any
data from its initial entry in a database until findings and conclusions obtained from it.
5

Figure 3.9 – Data storage protocol

3.4 Data interpretation

The sheer quantity of data generated by qualitative approaches makes the task of analysis
particularly challenging. Interpretation involves making sense of the data, the “lessons
learnt”, as described by Lincoln and Guba (1985). Interpretation in qualitative research
engages abstracting out beyond the codes and themes to the larger meaning of the data
(Corbin and Strauss, 2008; Easterby-Smith et al., 2012). It is a process that begins with
the development of the codes, the formation of themes from codes, and then the
organisation of themes into larger units of abstraction to make sense of the data (Creswell,
2013). As such, the interest in operating the data interpretation in this thesis was to known
how the coding to physical artefacts, interviews, and focus groups might suggest an
acceptable understanding about how things occurred within the analysed cases in order
to establish patterns of activity during the management of transnational disasters under
aegis of INTERPOL. The data interpretation began with multiple readings of the physical
artefacts followed by the interviews and focus groups transcripts as a cycle (see Figure

80
3.10) until the saturation point when no more changes were needed within the codes and
themes.

Audiovisual
materials

Focus
Documents
groups

Interviews

Figure 3.10 – Investigative sequence of data interpretation

Therefore, data interpretation also included in the analysis documentary evidence (i.e.
based on audiovisual material and documents) comprised of transcripts, field notes,
reports, archival records, memoranda, agendas, minutes of meetings, peer reviewed
articles, presentations, hypertext documents in Internet sites, and newspaper clippings
collected on the case. The sequence of data analysis started by the interpretation of
physical artefacts followed by interviews and focus groups demonstrated to be quite
productive, as advocated by Creswell (2013). Focus groups were undertaken after
interviews; consequently, the answers and discussions around the research questions were
much more elaborated and constructive. Some documents were the same for both cases
because they were relevant for both examined cases, as can be verified into the column
“Examples of transcriptions/field notes” in Tables 4.1 and 4.2. Therefore, in an iterative
process, codes and themes were developed, defined, refined, and finally allocated under
one of the ‘tables’ within the relational databases (Silberschatz et al, 2010; Nogueira,
2015c) as presented in Section 5.4.2, that is similar to ‘tree nodes’ within NVivo 10
software (NVivo, 2014). The benefits of relational database software to support the
qualitative analysis is that it allows automated searching, comparison, and traceability of
making the process of analysis much easier than with manual methods.

A code (also called as concept) in qualitative research is a meaningful segment of

information, a word or a sentence that symbolically assigns a summary, an essence, a text
segment for a portion of data that contributed to answering the research questions, and
each code can be subdivided in small portions, called as subcodes (Stake and Savolainen,
1995; Yin, 2009). These subcodes represent the minor portion of data analysis. On the
other hand, a theme (also called as category) is a broad unit of information that consist of

81
several codes aggregated to form a common idea, i.e. a set of codes or high-level codes
(Creswell, 2013; Corbin and Strauss, 2008). In this thesis, a theme was comprised of
several codes clustered to form a common idea representing the larger meaning or
abstraction of the data based on the analysed case, as an exploratory factor rather than its
frequency, as argued by Corbin and Strauss (2008) and Creswell (2013). In a practical
way, I requested to research participants during the interviews and focus groups to seek
for subcodes and codes in their sentences that were transcribed on small pieces of paper
with adhesive strip of glue (post-it) and placed in clusters. At the end of each session,
interviewees and focus groups participants had selected sentences representing
meaningful information together with a set of subcodes, codes, and themes. Therefore,
from data interpretation, emerged codes (concepts) that were clustered in themes
(categories) by research participants, as presented in Tables 4.1 and 4.2. Many subcodes
appeared in more than one code. Through a critical reflection process using member
checking (Creswell, 2013; Lincoln and Guba, 1985) during the interviews and focus
groups, codes were reassessed, merged or expanded as appropriated for best location in
building themes. For example, the sentences “disaster management”, “disaster victim
identification”, “systems & databases”, “recommendations”, “training & capacity
building” appeared several times in different places as subcodes, then they were
reassessed and relocated in best places into the appropriated theme. This continuous
comparison among subcodes, codes, and themes continued until “theoretical saturation”
was reached and no new theme emerged (Corbin and Strauss, 2008; Shah and Corley,
2006). In total, case 1 generated 8 themes, 23 codes and 76 subcodes. On the other hand,
case 2 produced the same amount of themes and codes, and 60 subcodes. Similarities in
the levels of themes and codes were identified, as well as differences in the level of
subcodes during the cross-case analysis (see Section 4.2). In fact, during the cross-case
analysis, similarities for eight themes and twenty-three codes were found. Subcodes
varied according to each transnational disaster. However, after a critical reflection, this
result is natural and corroborative since both cases were related to the same subject
(transnational disasters) and managed by the same entity (INTERPOL). Notwithstanding,
it was valuable to identify that two so different types of transnational disasters, case 1
(tsunami) – natural and open disaster, and case 2 (air crash) – man-made and closed
disaster, occurring at different sites Thailand and Brazil, in different periods 2004 and
2009, had displayed similar themes and codes. The reactions by interviewees and focus

82
group participants when they were asked to review the cross-case outcomes were
corroborative since they agreed with the choice of subcodes, codes, and themes.

3.5 Data triangulation

Data triangulation is a process that makes use of multiple and different sources of data to
provide corroborating evidence for validating the credibility and accuracy of the study
(Creswell, 2013; Yin, 2009). Therefore, the findings and conclusions in each case were
much more convincing and accurate because they were supported by more than a single
source of data, creating a validation strategy. In this research, the data triangulation began
with the initial data collection and continued with open coding that helped to identify the
various concepts and issues that emerged. The interpretation identified common codes
patterns from individual interviews that were compared to other interviews and focus
groups (Yin 2009). In addition, physical artefacts (i.e. documents, photos, and videos)
were also analysed in order to identify common codes patterns that corroborated the
interviews and focus groups. Axial coding was used to identify the relationships among
these codes and to group them into broader themes (Creswell, 2013; Easterby-Smith et
al., 2012). Hence, the triangulation process was looking a set of data with different lens
on subcodes that converge to codes, and codes that converge to themes obtained from
axial coding (Figure 3.11).
Interviews Focus Groups

Documents Audiovisual
Subcodes Materials

Convergent Codes

Convergent Themes

Figure 3.11 – Data triangulation using axial coding

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3.6 Ethical considerations

(I) Ethical issues

During the process of planning and designing a qualitative study, researchers need to
consider what ethical issues might surface throughout the study and to plan how these
issues need to be addressed (Creswell, 2013). A common misconception is that these issue
only surface during data collection. Indeed, they arise during several phases of the
research process; they are ever expanding in scope as inquiries become more sensitive to
the needs of participants, sites, stakeholders, and publishers of research (Easterby-Smith
et al., 2012). Ethical issues involve considering the researcher role as insider/outsider to
the participants: assessing subjects that may be sensitive of disclosing; establishing
supportive, respectful relationships without stereotyping and using labels that participants
not embrace; acknowledging those voices that will be represented in the final study, and
critically reflecting on people and sources of data.

(II) Ethical issues in all phases of this research process

According to Creswell (2013), ethical issues in qualitative research can be described as

occurring prior to conducting the study, at the beginning of the research, during the data
collection, in data analysis, in reporting data, and publishing the study. All ethical actions
were grounded in the DBA Thesis Handbook published by University of Liverpool (UoL)
as part of the professional doctorate programmes delivered in partnership with Laureate
Online Education. It was ensured the ethical approval for this research before begin to
collect any data or make any form of intervention. The ethical approval was gained by
primary supervisor taking into account the considerations of UoL’s ethical committee.
Table 3.4 presents the ethical issues considered in this thesis.

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Table 3.4 – Ethical issues
Phase Ethical issue Consideration and action
- Under the guidance of the primary supervisor, it was
completed the Full Ethics Application Form.
- As part of the application process, it was prepared an
“Informed Consent Form”. These forms were
Prior to
- Gain access and permission approved and used to obtain the informed consent of
conducting the participants in the research.
from site and participants
the study - The template of the Participant Consent Form used
in this research are in Appendix A. These templates
are an adaptation of that suggested by University of
Liverpool.
Beginning - Disclose purpose of the study - Contacted participants and informed on the purpose
to conduct - Do not pressure participants of the study
the study into signing consent forms - Informed Consent Forms were signed
- The participation of interviewees was voluntary.
- This research did not induce psychological stress or
cause harm or negative consequences.
- Anonymity, privacy, and confidentiality were
- Respect the site and disrupt as provided within the research scope; therefore, no
little as possible personal information was disclosed.
- Avoid deceiving participants - The researcher did not utilise any research assistant
Collecting to recruit participants or collect research data on
- Disclose the ethical principles
data behalf of the researcher.
to participants
- Accomplish the ethical -No university or company computers were used for
principles data storage.
- Data was not shared with other organisations.
- Data was anonymised at the point of collection.
- No audio/visual recording devices were used during
the interviews and focus groups.

- Avoid siding with participants - Multiple perspectives were reported

Analysing - Contrary opinions and findings were reported
- Avoid disclosing only positive
data - The privacy of participants were respected
results
- Do not plagiarize - Data and information were reported honestly
- Avoid disclosing information - Appropriated language was used according to the
that would harm participants audience
Reporting - Communicate in clear, - Data analysis results were provided to participants
data straightforward, appropriate and stakeholders
language
-Share data and information with
participants
- Practical results were presented to INTERPOL
members
- Some peer reviewed scientific articles were
published based on this thesis
- Do not duplicate or piecemeal - None ethical problem or conflict of interest were
Publishing publications found
- Complete proof of compliance - None legal risk was found in the data collection or
the study
with ethical issues and lack of other research stage.
conflict of interest - This research study did not require discussion of
sensitive topics.
- Acknowledgements were provided to participants,
supervisor, and INTERPOL co-workers.

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3.7 Conclusion

This chapter presented the scientific methodology used in this research. Some
fundamental reasons to study the theoretical and philosophical issues were presented in
an objective manner. The phases to build the theoretical and philosophical scaffolding
were identified as ontology, epistemology, mode of research, mode of reasoning, and
mode of inquiry. As result, this study was positioned as relativist (ontological dimension),
social constructionist (epistemological dimension), mode 2 (applied research), inductive
(mode of reasoning), and qualitative research (mode of inquiry). The qualitative research
design allowed the researcher to objectively collect data in the most effective manner for
this particular study. After examining five qualitative strategies and their characteristics,
i.e. narrative research, phenomenology, grounded theory, ethnography, and case study,
this researcher recognised the case study as the most appropriated strategy to this thesis.
The rationale to select case study as research strategy to inquiry was based on seven
objective reasons.

This chapter also offered a detailed view on the data collection process developed to
multiple case studies and evidenced in five stages: gaining access and permission,
sampling, collecting data, recording data, and storing data. The data was gathered from
two major cases managed by INTERPOL: case 1 - tsunami in the Indian Ocean and case
2 – air crash of Air France flight 447 in Brazil. A key point of the data collection based
on case study was the opportunity to use many different sources of data (i.e. interviews,
focus groups, documentations, audiovisual materials) describing multiple perspectives
about the case. In total, ten interviews one-to-one, 60-90 minutes each, with 10
participants from INTERPOL were carried out for case 1, and ten interviews one-to-one,
60-90 minutes each, with 10 participants from INTERPOL were carried out for case 2. In
turn, two focus groups, 45-60 minutes each, with 10 staff from were undertaken for case
1, and two focus groups, 45-60 minutes each, with 8 staff from INTERPOL were
undertaken for case 2. Eighty-seven documents, one hundred and fifty photos, and ten
videos were collected on the case 1; and thirty-eight documents, sixty photos, and four
videos were collected on the case 2. Afterwards, the data interpretation was done in order
to find out and present the categories (themes) and concepts (codes) in both cases. This
chapter also presented the data triangulation process using axial coding that made use of

86
multiple and different sources of data to provide corroborating evidence for validating the
credibility and accuracy of the study. Ultimately, during the process of planning and
designing this qualitative study, it was important to consider ethical issues that surface
throughout the research and to plan how these issues need to be addressed. The ethical
approval was gained by primary supervisor taking into account the considerations of
UoL’s ethical committee.

The following chapter will present the data analysis to support the development of
themes, codes, and subcodes producing a generalizable research that will be used to create
a Crisis Management Framework (CMF) that is the main objective of this thesis.

87
Chapter 4
Crisis Management Framework
4.1 Introduction

Frameworks are relevant to a wide range of situations involving crisis and disaster
management (Janssen et al., 2010) and several authors have attempted to create them in
different approaches. Elliott (2009) suggests a framework incorporating knowledge
acquisition, transfer, and assimilation as an opportunity to enhance successful
organisational learning from crisis. Gerybadze and Reger (1999) contend that
management frameworks are developed to serve as a basis for analysing different building
patterns, and for assessing the appropriate mechanisms to coordinate and control
transnational corporations. Unlu et al. (2010) acknowledges the use of comprehensive
frameworks to help managers in explain the systemic issues and problems in crisis
management systems. Othman (2014) investigates various disaster management
frameworks and proposes a new meta-modeling to help researchers and managers to
handle and share information, related to disaster management.

The International Organization for Standardization (ISO) also develops several standards
in the area of societal security (ISO/TC 223, 2011) involving the protection of society
from and response to incidents, emergencies, and disasters caused by intentional and
unintentional human acts, natural hazards, and technical failures. For instance, ISO
22320:2011 (Societal Security – Emergency Management – Requirements for Incident
Response) enables public and private incident response organisations to improve their
capabilities in handling different types of emergencies (for example, crisis, disruptions,
and disasters). However, these ISO standards are not fully align with the requirements of
a crisis management framework for INTERPOL since they do not cover all static and
dynamic capabilities required by a framework to manage transnational disaster under the
auspices of INTERPOL.

For the purposes of this study, the term framework was defined in Section 1.7.8.

Why a framework?

There are a number of reasons why a crisis management framework for transnational
disasters can be useful. First, a framework can simplify complex events such as
transnational disasters by assisting to distinguish between critical themes, concepts and

88
their relationships. Anderson and Woodrow (1989) clarifies that a framework sets out
categories of factors that should be considered for a particular phenomenon and these
categories must be comprehensive enough to cover all the important variables. Second,
Rowley and Slack (2004) argues that frameworks can be useful tools in developing an
understanding of a subject area and in identifying key concepts in a collection of
documents or research area. Third, contrasting actual conditions with a theoretical-
practical framework may conduct to a better understanding of the current situation, and
how a disaster and its effects may evolve. Fourth, a written crisis management framework
for transnational disasters helps establish a common understanding for all stakeholders
involved. Ultimately, a crisis management framework can be very beneficial to local,
national or international managers and agencies in explaining the course and possible
future actions of a disaster to experts and non-specialists. If the framework is clear (a
major condition), then its presentation to select or general audiences can facilitate support
for crisis management efforts.

Therefore, the lack of a general framework to deal with similarities and synergies among
different transnational disasters by taking their specific features into account was the main
problem to be faced in this thesis. A core aim of this study was to create a comprehensive
crisis management framework for INTERPOL to manage transnational disasters. The
following Crisis Management Framework (CMF) was comprised of two dimensions:
static and dynamic. Both dimensions were based on the data collection and data
interpretation presented in Chapter 3 and derived from the emergent categories (themes),
concepts (codes), and their relationships.

4.2 Data analysis

An important step before the creation of CMF is the data analysis since it will analyse
themes, codes, subcodes, and their relationships. According to Creswell (2013), data
analysis in qualitative research consists of preparing and organizing the data (i.e.
transcriptions, documents, field notes, and audiovisual materials) for analysis, then
reducing the data into codes and clustering them in themes.

In this study, the subcodes and codes (also called concepts) were produced by looking for
recurrent patterns within the data such as the repetition of words and linkages and how
respondents used or discussed key terms concerning crisis management. This was an

89
iterative process rather than a linear one as new insights and questions emerged which
required revisiting the data. Thus, I analysed the subcodes for codes and after codes for
themes and emerging theoretical insights, and then returned to the data for further coding
and analysis in the light of these emerging theoretical insights. In this thesis, a theme (also
called as category) is a unit of information and consists of several codes aggregated to
form a common idea. Therefore, the criterion for what constitute a theme is its relevance
within the analysed case as an exploratory factor rather than its frequency. Several authors
of case study method, such as Corbin and Strauss (2008), Yin (2009), and Creswell
(2013), advocate this criterion in order to generate themes in qualitative studies.

To analyse the data, I drew from interviews and focus groups to identify and categorise
themes (Elliott and Macpherson, 2010; Yin, 2009). I was interested in how references to
these sources of data suggested how effective crisis management at INTERPOL might be
accomplished—an accepted order about how to do things. I was also interested in how
existing artefacts (documents, photos, and videos) obtained in the data collection would
contribute to understanding established patterns of INTERPOL’s activities. That is, I was
alert to find out key factors emerging from codes and themes within the different sources
of data. In conducting the analysis, I intended to identify patterns as well as conflicts and
disagreements within the data (Corbin and Strauss, 2008; Creswell, 2013, Elliott and
Macpherson, 2010). For example, the subcodes attitude, consumables, deficient
infrastructure, lack of coordination, and lack of standard only emerged in the data
collection and analysis for case 1 (Tsunami in Indian Ocean), not appearing for case 2. In
turn, some subcodes only emerged in the data collection and analysis for case 2 (Air
France air crash in Brazil); for example, the subcodes DVI complexity, navy systems, and
specialised underwater teams. The intention was to create a generalizable research
(Section 4.2.1) using cross-case analysis (Section 4.2.2) that can be used in other
scenarios involving transnational disasters. Hence, I was looking for behaviour patterns
in order to find out what principles guide actions, as argued by several authors (Creswell,
2013; Easterby-Smith et al. 2012; Shah and Corley, 2006; Yin, 2009; Yin, 2011).
Notwithstanding, the particular activities continue as part of the crisis management
framework. Drawing from the sources above mentioned, eight themes or categories
emerged: governance, service, resource, multi-agency network, stakeholder, finance,
barrier, and facilitator. I was not only concerned with who was doing what, and with

90
whom, but I was also interested in why particular activities were conducted and what
principles guided actions.

For example, where there was evidence of international law, organisational norms, or
technical documents being followed at INTERPOL, I noted whether this was a codified
practice (norm and legislation). That is, in order to effectively fulfil its cross-border
activities, INTERPOL functions under norms and legislation, mainly when the crisis
management involved transnational disasters. Thus, international law (e.g. Universal
Declaration of Human Rights), organisational norms (e.g. constitution, resolutions, rules,
and regulations) and technical documents (e.g. guides, manuals, and fact sheets) were the
subcodes and clustered in a code called norm and legislation. I also identified that the
General Secretariat at INTERPOL headquarter and the National Central Bureaus were
subcodes related to the code physical structures (e.g. units, sectors, departments, bureaus,
or even whole organisations) mobilised for any kind of disaster under the auspices of
INTERPOL. As such, each transnational disaster required at least these two structures.
Thus, General Secretariat and National Central Bureau were identified as subcodes of a
common idea, so a code called structure. Other identified group of evidences involved
the policy at INTERPOL. The political commitment to manage a transnational disaster
was ensured when a member country accepted or requested INTERPOL assistance. The
policy identified at INTERPOL considered the principles related to cooperation,
assistance, or public safety in order to achieve and preserve the interest of member
countries. Thus, cooperation, assistance, and public safety were codified as subcodes of
a code called policy. I also paid attention to the fact that INTERPOL performed several
roles and responsibilities before, during, and after a transnational disaster, such as disaster
management, victim identification, information sharing, capacity building and training,
knowledge dissemination, or recommendations. Consequently, I codified role and
responsibility as a code comprising disaster management, victim identification,
information sharing, capacity building and training, knowledge dissemination, and
recommendations as subcodes. The codes structure, policy, role and responsibility, norm
and legislation were the building blocks to a common idea, a theme called governance.
Therefore, in the context of transnational disasters at INTERPOL, the data analysis shown
that there was a direct connection between the category governance and its concepts
structure, policy, norm and legislation, role and responsibility.

91
In the context of this study, service means an action or effort performed to satisfy a need
or to fulfil a demand of INTERPOL member countries in cases of transnational disasters
and the codes involving the theme service were clustered by disaster management phases
(mitigation, preparedness, response, and recovery). It is important to underline that the
services were grouped by disaster management phases because INTERPOL uses this
pattern to classify its services to member countries when working in cases of disasters
Also this same pattern was evidenced by research participants during the interviews and
focus groups.

For example, during the mitigation phase, where there was evidence of non-structural or
structural mitigation services being undertaken at INTERPOL in cases of transnational
disasters. I verified whether this was a codified practice (mitigation service). Thus, after
the confirmation of this practice through the sources of data, non-structural mitigation
services and structural mitigation services were the subcodes and clustered in a code
called mitigation service. For example, in the context of this research, some concepts
involving mitigation service emerged (shared role and responsibility, critical reflection
on lessons learnt, technical resourcefulness, forensic robustness) because INTERPOL has
used them to reduce the impact of disasters and to increase the resilience of member
countries. Moreover, it is important to highlight that some structural and non-structural
mitigation services were undertaken by INTERPOL in order to decrease the impact of
disaster on affected communities. Structural mitigation services evidenced by
INTERPOL included practical actions; for example, the relocation of INTERPOL staff
and offices in NCBs and the integration and update of information systems and databases.
I also verified that INTERPOL evidenced some non-structural mitigation services; for
example, education and public awareness through meetings and recommendations on
technical matters related to transnational disasters. In turn, during the preparedness phase,
where there was evidence of training and capacity building, preparatory documents, and
early public information being followed at INTERPOL, I observed whether this was a
codified practice related to preparedness services. For example, after the confirmation of
each practise through different sources of data, I identified that training and capacity
building, preparatory documents, and early public information were subcodes and they
were clustered in a code called preparedness service. In the same vein, during the response
phase, it was evidenced that the response services at INTERPOL were performed through
Incident Responses Teams (IRTs) sent to the sites of disasters. An IRT was typically

92
composed of expert police officers and support staff, and was tailored to the specific
nature of the each disaster and the type of assistance that INTERPOL was requested to
provide. Thus, I verified whether this was a codified practice (response service). For
example, emergency service, disaster management service, or DVI service emerged from
different sources of data. Thus, emergency service, disaster management service, and
DVI service were codified as subcodes and clustered in a code called response service.
Similarly, during the recovery phase, it was evidenced that several recovery services were
performed by INTERPOL encompassing the reconstruction, restoration, or rehabilitation
of essential infrastructure for NCBs, including logistical networks, supply chains, IT &
telecommunication. Consequently, reconstruction, restoration, and rehabilitation were the
subcodes and clustered in a code called recovery service. Therefore, in the context of
transnational disasters at INTERPOL, the coding showed that there was a direct
connection between the category service and its concepts mitigation service, preparedness
service, response service, and recovery service.

This research also revealed that there were three underlying codes influencing the theme
resource when it was related to transnational disaster at INTERPOL: staff, tools and
technology, and infrastructure. For example, the disaster may have damaged or destroyed
the country’s existing infrastructure, tools and technologies, staff, making the task of
crisis management even more difficult. Thus, during the process of coding, where there
was evidence of expert police officers, support personnel, or specialised teams being used
at INTERPOL, I verified whether this was a codified practice (staff). Consequently, after
the confirmation of this practice through the sources of data, expert police officers,
support personnel, and specialised teams were the subcodes, and clustered in a code called
staff. In the context of this study, the code staff meant a group of people who work for
INTERPOL and was engaged with cases of disasters. On the other hand, where there was
evidence of systems and databases, computer networks, or communication mechanisms
being used at INTERPOL, I verified whether this was a codified practice related to tools
and technologies. Thus, after the confirmation of this practice through the sources of data,
systems and databases (e.g. I-24/7 system, FASTID system, I-Link system, AFIS system
and database, DNA profiles database, nominal database, and MPUB database), computer
networks (e.g. intranet, virtual private network), and communication mechanisms (mobile
and satellite phones, tetrapol communicator) were the subcodes and clustered in a code
called tools & technology. In the same token, the code of infrastructure was related to the

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basic elements needed for the operation of each disaster team. For example, where there
was evidence of temporary offices, consumables, or specialised devices being used at
INTERPOL, I verified whether this was a codified practice (infrastructure).Thus, after
the confirmation of this practice through the sources of data, temporary offices,
consumables, and specialised devices were codified as subcodes and clustered in a code
called infrastructure.

INTERPOL was not alone in the scenario of transnational crisis and disaster management.
The public sector with its governmental agencies usually interacts with private sector and
non-profit agencies when responding to the effects of natural or man-made disasters.
Therefore, a multi-agency network develops a fundamental role in the transnational
disaster setting. Throughout the coding process, I paid attention to the evidence of the
interactions and relations of multiple agencies working transnationally. For example,
where there was evidence of formal relations or informal relations being pursued at
INTERPOL, I noted whether this was a codified practice (social capital). Thus, formal
relations and informal relations were the subcodes and clustered in a code called social
capital. In the context of this study, the formal relations (contractual) were grounded in
official written documentation, such as cooperation agreements, international
conventions, contracts, and official partnerships. On the other hand, informal relations
(non-contractual) were comprised of personal relationships based on trust and respect,
such as shared understanding and knowledge, reputation, informal agreements,
information exchange, or network of contacts. Furthermore, it is important to underline
that the definitions of social capital vary according to whether the focus was on substance,
sources, or effects (Johnson and Elliott, 2011, p.105). Therefore, in order to avoid
misunderstanding or different interpretations, for this study, social capital represented the
relationships between people or organisations that worked together with INTERPOL
enabling to function effectively in coping transnational disasters. I also paid attention that
the skills, knowledge, experiences, or attitudes were other evidences of a common idea
related to the human capital when working in a multi-agency environment under the
auspice of INTERPOL. Thus, skills, knowledge, experiences, and attitudes were the
subcodes and clustered in a code called human capital. At last, the codes social capital
and human capital were identified as the building patterns to a common idea, a theme
called multi-agency network. Therefore, in the context of transnational disasters at

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INTERPOL, the coding process shown that there was a direct connection between the
category multi-agency network and its concepts social capital and human capital.

Crises and disasters under the aegis of INTERPOL affect a wide range of stakeholders
and this study revealed that there were some concepts influencing the stakeholders when
related to transnational disasters. For example, where there was evidence of international,
regional, national, or local actors being followed at INTERPOL, I verified whether this
was a codified practice (actor). Thus, after the confirmation of this practice through the
sources of data, international, regional, national, and local actors were the subcodes and
clustered in a higher code called actor. International actors were represented by
international organisations and groups, such as all nations that have incurred human
losses, foreign affairs departments, international funding nations, international agencies
(e.g. INTERPOL, UN, IFRC, ICAO), international forensic laboratories, international
companies. Regional actors were represented by regional unions, such as regional bodies,
task forces, regional funding nations, and regional law enforcement agencies (e.g.
EUROPOL, AMERIPOL, ASEANAPOL, CARICOM, SADC, FRONTEX). National
actors were represented by national organisations and groups, such as national
governmental departments, national law enforcement agencies (e.g. FBI, BFP, BKA),
national health agencies, national forensic teams. Local actors were represented by local
or provincial organisations, groups, and people, such as local governmental departments,
local law enforcement agencies, local forensic teams, local health agencies, volunteers.
Moreover, I also paid attention to the society sectors that were involved as stakeholders.
Thus, where there was evidence of public, private, or non-governmental sectors being
followed at INTERPOL, I verified whether this was a codified practice (sector). For
example, in the context of multi-agency network, INTERPOL developed a cooperative
approach engaging several public agencies (national police forces, national, regional, and
provincial governments and departments, governmental ministries), private organisations
(logistics companies, transportation companies, insurance companies, suppliers of
consumables for DVI activities, companies to provide mobile hospitals and related
equipment, morgue companies), and NGOs (United Nations, International Federation of
Red Cross, International Commission on Missing Persons, etc.).Thus, after the
confirmation of this practice through the sources of data, public sector, private sector, and
non-governmental sector were the subcodes and clustered in a higher code called sector.
Finally, the codes actor and sector were the building patterns to a common idea, a theme

95
called stakeholder. Therefore, in the context of transnational disasters at INTERPOL, the
coding process shown that there was a direct connection between the category stakeholder
and its concepts actor and sector.

The management of transnational disasters is an expensive activity, quickly consuming

INTERPOL’s finances. The finance at INTERPOL concerns the allocation of financial
resources and this research revealed that contributions and incomes were underlying
concepts influencing the category finance when it was related to transnational disaster at
INTERPOL. The financial assistance to response, recovery, mitigation, and preparedness
phases were provided at INTERPOL by different sources, such as statutory contribution
and extraordinary contribution, and incomes. The major part of the INTERPOL’s
operating finance for all matters including disasters came from contributions by member
countries (70% of the total) where statutory contribution represents 63% of the total and
extraordinary contribution 7% of the total. Thus, for example, during the coding process
where there was evidence of statutory or extraordinary contributions being used at
INTERPOL, I noted whether this was a codified practice (contribution). Thus, after the
confirmation of this practice through the sources of data, statutory contribution and
extraordinary contribution were the subcodes and clustered in a code called contribution.
Similarly, where there was evidence of formal financial agreements, financial projects,
or consortiums being used at INTERPOL, I noted whether this was a codified practice
related to income. Thus, after the confirmation of this practice through the sources of data,
formal financial agreements, financial projects, or consortiums were the subcodes and
clustered in a code called income. At last, the codes contribution and income were the
building patterns to a common idea, a theme called finance. Therefore, in the context of
transnational disasters at INTERPOL, the coding process shown that there was a direct
connection between the category finance and its concepts contribution and income.

In the practical context of INTERPOL, it was possible to identify several barriers or

impediments to effective response faced before, during, and after a transnational disaster,
and they can be clustered by levels: operational, tactical, or strategic. Thus, for example,
during the coding process, where there was evidence of strategic barriers such as the
rigidity of core beliefs, non-alignment and different interests among agencies, initial lack
of coordination, or long-term activity being followed at INTERPOL, I verified whether
this was a codified practice (strategic barrier). Thus, after the confirmation of this practice
through the sources of data, the rigidity of core beliefs, non-alignment and different

96
interests among agencies, initial lack of coordination, and long-term activity were the
subcodes and clustered in a code called strategic barrier. In the same token, the lack of
common assessment and knowledge about the roles and responsibilities, difficulty to
integrate systems and databases, complex logistics, or non-accomplishment of
international protocols being followed at INTERPOL, I verified whether this was a
codified practice (tactical barrier). Thus, after the confirmation of this practice through
the sources of data, the lack of common assessment and knowledge about the roles and
responsibilities, difficulties in integrating systems and databases, complex logistics, and
non-accomplishment of international protocols were the subcodes and clustered in a code
called tactical barrier. Similarly, the deficient country’s infrastructure, ineffective
communication, complexity of DVI activities, or low level of engagement among
different agencies being followed at INTERPOL, I verified whether this was a codified
practice (operational barrier). Thus, after the confirmation of this practice through the
sources of data, the deficient country’s infrastructure, lack of standard, ineffective
communication, complexity of DVI activities, and low level of engagement among
different agencies were the subcodes and clustered in a code called operational barrier.
Finally, the codes strategic barrier, tactical barrier, and operational barrier were the
building patterns to a common idea, a theme called barrier. Therefore, in the context of
transnational disasters at INTERPOL, the coding process shown that there was a direct
connection between the category barrier and its concepts strategic barrier, tactical barrier,
and operational barrier.

It was also possible to identify several facilitators faced before, during, and after a
transnational disaster, and they can be clustered by levels: operational, tactical, or
strategic. Thus, for example, during the coding process, where there was evidence of
strategic facilitators such as social appeal or partnership agreements being followed at
INTERPOL, I noted whether this was a codified practice (strategic facilitator). Thus, after
the confirmation of this practice through the sources of data, social appeal and partnership
agreements were the subcodes and clustered in a code called strategic facilitator. In the
same token, disclosure of norms, shared displacement of resources, or real-time
communication being followed at INTERPOL, I noted whether this was a codified
practice (tactical facilitator). Thus, disclosure of norms, shared displacement of resources,
and real-time communication were the subcodes and clustered in a code called tactical
facilitator. Likewise, the collective working or collaborative operation being followed at

97
INTERPOL, I noted whether this was a codified practice (operational facilitator). Thus,
after the confirmation of this practice through the sources of data, the collective working
and collaborative operation were the subcodes and clustered in a code called operational
facilitator. At last, the codes strategic facilitator, tactical facilitator, and operational
facilitator were the building patterns to a common idea, a theme called facilitator.
Therefore, in the context of transnational disasters at INTERPOL, the coding process
shown that there was a direct connection between the category facilitator and its concepts
strategic facilitator, tactical facilitator, and operational facilitator.

Through a critical reflection process using member checking (Creswell, 2013; Lincoln
and Guba, 1985) during the interviews and focus groups, codes were reassessed, merged
or expanded as appropriate for building themes. For example, the codes disaster
management, disaster victim identification, systems & databases, recommendations,
training & capacity building appeared several times in different places as subcodes; thus,
they were reassessed and relocated in best places into the appropriated theme. This
continuous comparison among subcodes, codes, and themes continued until “theoretical
saturation” was reached and no new theme emerged (Corbin and Strauss, 2008; Shah and
Corley, 2006). Examples of transcriptions/field notes related to the subcodes, codes, and
themes generated in this in-depth qualitative study can be seen in Tables 4.1 and 4.2.

Therefore, in this doctoral research, all source of data (see Section 3.3) were carefully
analysed i.e. (read and coded in Section 3.4), summarised and categorised according to
the participants responses, documents, and audiovisual materials. The emergent themes
based on the sources of data were governance, service, resource, multi-agency network,
stakeholder, finance, barrier, and facilitator that helped to understand the investigated
cases and formulate a proposal of crisis management framework.

4.2.1 Notation used in this data analysis

A specific formal notation was created as unit of reference in order to build databases to
multiple case studies, to maintain the chain of evidence (data path) within the data storage
protocol as presented in Figure 3.9 as much as to facilitate data management including
the identification, localization, traceability of the collected data.

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A tuple T, represented by “<...,…,…>”, is an ordered set of data constituting a record.
The formal notation using tuple was chosen because it is traditionally used in relational
algebra and applied in databases (Silberschatz et al., 2010). Therefore, the intention is to
store records in databases. The set of tuples {T 1,…,Tn} forms a file F. A set of files
{F1,…,Fn} and their relationships forms a database D. The database created for this study
was based on Tables 3.2 and 3.3 for data collection, and Tables 4.1 and 4.2 for data
analysis.

 <I, N, C> is a tuple, where I is the set of interviewees {1,…,10}; N is the set of
identification number {1,…,m}; C is the set of case studies {1,2}. For example, <I,
10, 1> represents Interviewee, Number 10, Case 1.

 <F, N, C> is a tuple, where F is the set of focus groups {1,2}; N is the set of
identification number {1,…,m}; C is the set of case studies {1,2}. For example, <F,
2, 2> represents Focus Group, Number 2, Case 2.

 <D, N, C> is a tuple, where D is the set of documents {1,…,87} for case 1 and {1,…,
38} for case 2; N is the set of identification number {1,…,m}; C is the set of case
studies {1,2}. For example, <D, 32, 1> represents Document, Number 32, Case 1.

 <A, N, C> is a tuple, where A is the set of audiovisual materials {1,…,160}

representing 150 photos and 10 videos for case 1, and {1,…,64} representing 60
photos and 4 videos for case 2; N is the set of identification number {1,…,m}; C is
the set of case studies {1,2}. For example, <A, 10, 2> represents Audiovisual
Material, Number 10, Case 2.

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Table 4.1 – Case 1: Tsunami in the Indian Ocean

Themes Codes Subcodes Examples of transcriptions/field notes

General Secretariat “Disasters are a governance-related issue, and as such INTERPOL has an
important role in the international scenario” <F,2,1>
Structure National Central Bureau
“General Secretariat, National Central Bureaus and Regional Bureaus were
Regional Bureau the structures of INTERPOL used in this transnational disaster” <I,2,1>

“Cooperate in disaster management matters for a safer world” <D,2,1>

Cooperation
“…One of the main roles of INTERPOL is assisting member countries in
Policy Assistance issues related to transnational disasters” <I,1,1>
Public safety “Beyond cooperation, our organisation is responsible to provide public safety
through information exchange of victims, families and people” <F,1,1>

“Assist and advise Interpol member countries in Disaster Management (DM)

Disaster management (DM)
Governance
Disaster victim identification (DVI)
Information sharing
Role & responsibility
Capacity & training
Recommendation
Knowledge dissemination
and Disaster Victim Identification (DVI) using accepted international
standards” <D,5,1>
“Share DM information and practical knowledge, both between member
countries and, between countries and other international agencies, when
responding to a disaster” <F,2,1>
“In this case, INTERPOL promoted various specialised trainings to national
police forces in order to disseminate the knowledge…” <I,3,1>
“…dozens formal recommendations were presented in tsunami case” <I,5,1>

“In order to effectively fulfil its cross-border activities, INTERPOL functions

International law under international law and organisational norms such as its constitution, rules
Norm & legislation Organisational norms and regulations” <F,1,1>

Technical documents “Guides and manuals are used as technical documents in cases of
transnational disasters, but they are insufficient” <I,9,1>>

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Themes Codes Subcodes Examples of transcriptions/field notes

“Meetings, recommendations, and operational procedures were non-structural

Non-structural mitigation service mitigation measures used…” <F,2,1>
Mitigation Service
Structural mitigation service “Some structural mitigation services provided by INTERPOL included
relocation of INTERPOL staff and offices from NCB Bangkok” <F,1,1>

“Before the tsunami… We had helped to build a preliminary form of capacity

building and training in Thailand, equipping them with the knowledge, skills
and best practices” <F,2,1>
Early public information
“Prepare registry of organisations and services, experts and abilities, supplies
Preparedness Service Training & Capacity Building
and suppliers” <D,28,1>
Preparatory documents
“…the organisation usually prepares several types of early public information
to our member countries. For example, leaflets, guidelines, handbooks, and
educational videos” <I,4,1>
Service
“We deploy emergency infrastructure services, such as logistics, field
communications equipment, IT and communication, information systems and
Emergency service databases for our NCB in Thailand” <F,1,1>
Response Service DM service “… 24/7 DVI operational assistance and DM support” <A,2,1>
DVI service “I am sure... A major response service is the deployment of Incident Response
Teams (IRT) in the field of disaster… Moreover, occupational care for
IRTs”<I,6,1>

“Reconstruction, restoration and rehabilitation of essential infrastructure,

Reconstruction resources and services for NCBs, including logistical networks, supply
Recovery Service Restoration chains, IT & telecommunication” <D,25,1>

Rehabilitation “As recovery service, the organisation offers risk and impact assessment”
<F,2,1>

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 Themes Codes Subcodes Examples of transcriptions/field notes

“Our teams are comprised of managers, police officers, and support staff”
<D,13,1>
Expert police officers
Staff “…when there is a major incident that requires expert police officers and
Support personnel
support staff and, such as in a transnational natural disaster, a member country
can request help from INTERPOL” <I,4,1>

“The INTERPOL systems and databases contain millions of records on

nominal data, fingerprints, DNA, travel documents, and more” <D,7,1>
Systems & Databases
“INTERPOL has a number of databases covering all types of evidence from
Resource Tools & technology Computer networks
fingerprints to stolen passports, and even DNA profiles” <A,6,1>
Communication
“The lack of communications and computer networks were big infrastructure
challenges in this tsunami case” <I,8,1>

“A number of mechanisms of communication are daily used in disaster

Temporary offices situations by member countries, such as notices, diffusions, and messages.
Infrastructure Consumables Hence, it was necessary to bring specialised equipment to create another
network for a new NCB office in Thailand”<D,30,1>
Specialised devices
“I remember me that we provided temporary offices to NCB” <I,7,1>

“Transnational disaster cannot be tackled in isolation. Partnerships with other

organizations and the private and public sectors are essential to tackle
challenges in common areas” <D,20,1>
Formal Relations
“I can identify international agreements as a key role in crisis management,
Multi-agency such as in tsunami case” <I,9,1>
Social capital
Network
“Our partners were absolutely crucial in the case of tsunami in Thai” <I,2,1>

“…relationships were not only formal… I believe that informal relations and
Informal Relations contacts with key personnel within the disaster management process were
very important” <I,1,1>

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 Themes Codes Subcodes Examples of transcriptions/field notes
“Informal relations involved different individuals and groups” <F,1,1>
Knowledge
“Knowledge and experience were essential prerequisites to obtain successful
Skill multi-agency cooperation in the case of tsunami” <I,6,1>
Human capital
Experience “Disaster experts need to know what to do, but also know how to do… they
need to have ability and attitude ” <F,1,1>
Attitude

“This case integrated actions into relevant coordination mechanisms

International involving international, regional, national and provincial actors” <D,2,1>
Regional “I believe… we can’t forget that victims and their families as key stakeholders
Actor
National in this transnational disaster” <I,10,1>

Local “This transnational disaster involved all nations which have incurred human
Stakeholder losses” <F,2,1>

“The disaster management was a big challenge requiring the full commitment
Public and involvement of all sectors concerned, including public, private, and non-
Sector Private governmental agencies” <F,1,1>

Non-governmental “International non-governmental agencies, such as UN and INTERPOL, were

key stakeholders in tsunami disaster” <I,4,1>

“Financial assistance to emergency/response, recovery, mitigation, and

preparedness are provided by different sources, including statutory and
Statutory contribution
Contribution extraordinary contributions” <D,1,1>
Extraordinary contribution
“Well… I think that member countries’ contributions were essential to the
disaster response activity” <I,3,1>”
Finance

Agreements “We were passing for severe budget constraints and it was necessary to find
out alternative funding arrangements… look at our incomes in projects,
Income Projects bilateral agreements, and consortiums” <F,2,1>
Consortiums “…In that time, alternative incomes were indispensable” <I,6,1>

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Themes Codes Subcodes Examples of transcriptions/field notes

“Long-term activity became more difficult due to the high staff turnover and
Rigidity funding reduction over the time”<D,3,1>
Non-alignment “A big challenge was the non-alignment with the DM international protocols
and procedures by Thai specialists” <I,7,1>
Strategic Barrier Lack of coordination
“I identified some rigidity in the core beliefs of national forces” <I,5,1>
Different interests
“Each agency has its own interest.” <I,9,1>
Long term
“Initially, the lack of coordination made our activity more difficult” <F,2,1>

“…Inefficient tools to integrate systems and the absence of common

Common assessment assessment became serious problems to support sharing and exchanging of
information” <D,15,1>
Lack of knowledge
“Lack of knowledge on the roles, responsibilities, and core values of other
Tactical Barrier System integration
agencies” <F,1,1>
Barrier Complex logistics
“I saw the non-accomplishment of international protocols and procedures to
International protocols DVI and complex logistics as barriers in this mammoth transnational disaster”
<I,5,1>

“We were facing an extremely poor infrastructure” <F,1,1>

Deficient infrastructure “Tsunami provoked a huge number of victims, more than 5,000 fatalities in
Thailand and over 250,000 people in cities, towns and villages along the
Number of victims coastlines” <A,5,1>
Lack of standard “I saw that our organisation had difficulties to disseminate procedures, norms
Operational Barrier
Ineffective communication and regulations among participants since they had different levels of
engagement” <I,8,1>
Level of engagement
“…Ineffective communication by the scale of the emergency” <I,3,1>
High staff turnover
“…Due to the long term period this case faced the problem of high staff
turnover” <I,2,1>

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 Themes Codes Subcodes Examples of transcriptions/field notes

“Partnership agreements with public and private sectors represented a key

Social appeal strategic point to have a successful crisis management” <D,10,1>
Strategic Facilitator
Partnership agreements “This transnational disaster provoked a social appeal that helped us to attract
other means of funding” <I,1,1>

“Concerning to facilitators... There was a collective displacement of resources

to the field of disaster” <F,2,1>
Disclosure
“…during and after this disaster, some organisations disclosed their norms
Facilitator Tactical Facilitator Displacement
and regulations” <I,6,1>
Real-time communication
“In the first moment, technical messages were sent through real-time
communication using satellite phones” <I, 4,1>

“Forensic teams were represented by several nations, but under umbrella of

Collective working INTERPOL” <D,6,1>
Operational Facilitator
Collaborative operation “Some units in the field ran under a collective and collaborative approach
emphasizing the qualities of each agency” <F,1,1>

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Table 4.2 – Case 2: Air crash of Air France flight 447

Themes Codes Subcodes Examples of transcriptions/field notes

“INTERPOL's activities are driven by General Secretariat and member

General Secretariat countries, within a clear framework of governing bodies” <D,8,2>
Structure
National Central Bureau “In this disaster, it was used the structure of General Secretariat in
Lyon/France and the National Central Bureau in Brasilia/Brazil” <I,2,2>

“Public safety also involves disaster management in cases like these. And
INTERPOL develops a key role in this international setting” <F,2,2>
Cooperation
“Cooperate in disaster management matters for a safer world” <D,2,2>
Policy Assistance
“INTERPOL provided assistance in coordinating international efforts to
Public safety
identify the victims of the June 1 Air France plane tragedy in which 228
people from 32 countries lost their lives” <A,1,2>

Governance “Assist and advise INTERPOL member countries in Disaster Management

Disaster Management (DM)
Disaster victim identification (DVI)
Role & responsibility Information sharing
Recommendations
International standards
(DM) and Disaster Victim Identification (DVI) using accepted international
standards” <D,3,2>
“Responsibility of INTERPOL – Make recommendations related to DM and
DVI: preventing and mitigating from air disasters, responding and recovering
for these types of disasters” <I,2,2>
“Arrange to meet annually with disaster practitioners at INTERPOL in order
to share information, international standards as well as to disseminate our
recommendations” <I,5,2>

International law “…day-to-day implementation of the Organization's decisions related to

transnational disasters was carried out by the organisational norms and
Norm & legislation Organisational norms
technical documents in consonance with international law” <F,1,2>
Technical documents

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Themes Codes Subcodes Examples of transcriptions/field notes

“Prospection of resource and service” <D,6,2>

Non-structural mitigation service
Mitigation Service
Structural mitigation service
“…I believe in the establishment of disaster culture through public education
and public awareness” <I,4,2>
“An important mitigation service was the attempt to integrate and update
information systems and databases” <F,2,2>

“Prepare the registry of organisations and services, experts and abilities,

supplies and suppliers” <D,15,2>

Training & Capacity Building
Preparedness Service
Preparatory documents
“…implement capacity building and training, exercises and simulations. Test
the IT and communication services” <I,10,2>
“…furthermore, we do believe that the Organisation also prepares early
specialised information and makes available in our site at Internet. For
instance, contingency plans, fact sheets, reports, manuals and guides” <F,2,2>

Service “Forensic services consist of DVI, missing persons identification,

unidentified bodies identification and linking, DVI assessment teams, DVI
deployment on field, family identification and reconciliation, restoring family
Emergency service
links and missing persons” <D,2,2>
Response Service DM service
“…direct assistance from Command and Control Coordination (CCC)… For
DVI service example, the warning system through CCC” <I,8,2>
“In this case, INTERPOL provided information-sharing and exchange on-site
in a more effective way, if compared with other previous disasters” <I,3,2>

“INTERPOL generated resilience through shared responsibility, respectful

interaction, critical reflection on lessons learnt, technical resourcefulness, and
Resilience
forensic robustness” <F,2,2>
Recovery Service Lessons learnt
“A relevant recovery service was the re-evaluation/review of response phase”
Assessments <I,7,2>
“At the end, during the debriefing, it was discussed on lessons learnt” <I,4,2>

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 Themes Codes Subcodes Examples of transcriptions/field notes

“INTERPOL's staff members, including specialised teams and administrative

teams, can assist national police forces and bring much needed expertise and
experience” <D,30,2>
Specialised Teams “An Incident Response Team (IRT) can be deployed anywhere if there is
Staff
Administrative Teams natural or man-made disasters” <A,3,1>
“There are different teams for each phase of disaster: mitigation team,
preparedness team, incident response team (the most known), and recovery
team. Some members can actuate in all these teams” <F,1,2>

“The INTERPOL databases contain millions of records on nominal data,

Resource Systems & Databases fingerprints, DNA, travel documents, and more” <D,8,2>
Tools & technology
Communication “INTERPOL supported this case with instant and direct access to a wide range
of technologies, particularly communication systems and databases” <F,2,2>

“In this case, the organisation used the navy systems to access reports and
notices: yellow (missing person) and black (unidentified bodies)” <D,9,2>

Underwater equipment “Autonomous underwater vehicles were used to find out the black boxes”
Infrastructure <F,1,2>
Navy systems
“The IRT also used a mobile videoconference equipment as an effective and
efficient mean of communication in order to reduce the distance between the
General Secretariat in France and the site of disaster in Brazil” <I,6,2>

“Transnational disaster cannot be tackled in isolation. Partnerships with other

organizations and the private and public sectors are essential to tackle
Multi-agency challenges in common areas” <D,10,2>
Social Capital Formal relations
Network “… formal partnerships take part of the disaster management process and they
were essentials, in all levels: Micro Level (Group), Meso Level (Institutional),
Macro Level (Multi-Agencies)” <F,2,2>

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 Themes Codes Subcodes Examples of transcriptions/field notes
“Police cooperation agreement was an important factor in this air crash
case”<I,7,2>

“I’ve used my personal contact list… When I needed, I used...” <I,6,2>

Informal relations “Informal relationships (such as telephone list and social networks) were a
useful method to obtain rapid access to data and information” <I,3,2>

Knowledge “We have used our knowledge and skills in our work”<F,1,2>
Human capital Skill “The set of expert’s skills and experiences of our colleagues were crucial,
particularly working in a multi-agency environment like this” <I,1,2>
Experience

“There’s mutual benefits among the involved actors and in different levels:
International international, national, and local <F,1,2>
Actor National “This air crash of Air France flight 447 was comprised of different
Local international, national, and local actors involving civilian and military forces”
<I,9,2>

Stakeholder “Sectors are comprised of provincial governments, departments, and foreign

law enforcement agencies in the venue of disaster” <D,5,2>
Public
“As usual in this kind of disaster, we had also the involvement of private
Sector Private insurance companies” <I,8,2>
Non-governmental “INTERPOL’s support in ensuring that our work is integrated with the
international community is an important part of this case and we welcome
governmental and non-governmental partners” <A,5,1>

Statutory contribution “Financial assistance to emergency/response, recovery, mitigation, and

Finance Contribution preparedness are provided by different sources, including statutory and
Extraordinary contribution extraordinary contributions” <D,7,2>

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Themes Codes Subcodes Examples of transcriptions/field notes
“Well… Extraordinary contribution was a key factor” <I,3,2>

“Disaster management is an expensive activity, consuming INTERPOL’s

Agreements contributions and incomes” <I,8,2>
Income
Consortiums “…fortunately, DVI activities are also fomented through agreement with
some organisations as well as the FASTID consortium” <F,2,2>

“We faced some kind of rigidity in institutional beliefs and legal frameworks,
as difficult barrier to overcome” <F,1,2>

Rigidity “I consider as barrier: the non-alignment among objectives, organisational

priorities, and coordination, mainly working in a multi-agency setting like this
Strategic Barrier Non-alignment air crash” <I,1,2>
Different interests “There were different interests from stakeholders” <I,5,2>
“This case faced a barrier due to the different interests from military and
civilian organisations” <I,6,2>

“Some barriers were the complex logistics, lack of common assessment from
Barrier Common assessment involved agencies” <I,4,2>

System integration “It wasn't possible to have a full integration of our systems and databases with
Tactical Barrier the military systems” <F,2,2>
Complex logistics
“In line with INTERPOL protocols, victims’ data were compared at the
International protocols Information Management Centre (IMC) established in Recife, Brazil.
However, it wasn’t an easy task” <I,3,2>

“The underwater search for bodies, the forensic identification of victims, and
DVI complexity the necessity of families data gathering from around the world were complex
Operational Barrier and time-consuming tasks” <F,1,2>
Level of engagement

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 Themes Codes Subcodes Examples of transcriptions/field notes
“I believe there were initial difficulties due to the different levels of
engagement from civilian society, police and military forces involved”
<I,10,2>

“Partnership agreements with public and private sectors represents a key

Social appeal strategic point to have a successful crisis management” <D,20,2>
Strategic Facilitator
Partnership agreements “This kind of closed disaster involving air crash usually produces a social
appeal. This appeal can facilitate the financial assistance” <I,9,2>

“The displacement of heavy resources (e.g. ships, underwater robots) are

Disclosure provided by Brazilian and France Navy Task Force” <D,4,2>
Facilitator
Tactical Facilitator Displacement “At first, real-time communication with members of military forces was
Real-time communication difficult, but after some collective meetings this obstacle was overcame”
<I,5,2>

“As facilitator, we always hear the stakeholders’ complaints. Sometimes it’s

Collective working
Operational Facilitator possible to act immediately, and sometimes later” <F,2,2>
Collaborative operation
“Collective and collaborative working was fundamental” <I,3,2>

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4.2.2 Cross-case analysis

Case studies often have as relevant step the interpretations and conclusions obtained by
the researcher about the overall meaning derived from the cases. There are two major
approaches or techniques to qualitative data analysis using codes and themes: within-case
and cross-case (Creswell, 2013). In within-case analysis, the researcher analyses a case
and searches for themes (Creswell, 2013; Yin, 2009). In turn, cross-case analysis is a
technique applied specifically to the analysis of multiple cases in which the researcher
examines codes and themes across cases in order to find out similarities and differences
to other cases (Creswell, 2013; Yin, 2009).

This study applied both analysis techniques. Firstly, it identified the subcodes, codes, and
themes for each case using the within-case analysis (see themes in Tables 4.1 and 4.2).
Secondly, the outcomes of the within-case analysis were compared across two cases in a
cross case analysis (see Table 4.3). It was used an adapted version of the template for
cross-case analysis presented by Creswell (2013). Furthermore, it was used the member
checking (Creswell, 2013; Lincoln and Guba, 1985) during the focus groups as a form of
review process and critical reflection. In member checking performed during focus
groups, this researcher solicited participant’s views upon the findings and interpretations
so that they judge the credibility of the emerged subcodes, codes and themes.

The operationalization of the cross-case analysis was done using tabular and figure forms.
The tables 4.1 and 4.2 represent themes, codes, and subcodes for case 1 and case 2
respectively. In addition, these cells contain some examples of transcripts extracted from
interviews, focus groups, or physical artefacts. Another cross-case representation was
created using a hierarchical tree diagram (Figure 4.1) that shows different levels of
abstraction, with boxes in the top of the tree representing the most abstract information
(level 1 - themes) and those at the bottom representing the least abstract information (level
2 - codes). The findings and discussions about the implementation of data analysis are
shown in Section 3.4.

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Table 4.3 – Within-case and cross-case analyses

In-depth portrait of cases

Context Analysis Within-Case Analysis
Cross-Case Analysis
(Codes and Subcodes) (Themes)

Case 1 Case 2 Case 1 Case 2 Similarities and Differences

1. Actor 1. Actor 1. Barrier 1. Barrier
2. Agreements 2. Administrative teams 2. Facilitator 2. Facilitator Similarities:
3. Assessments 3. Agreements 3. Finance 3. Finance  Themes and codes were the same for both cases
4. Assistance 4. Assessments 4. Governance 4. Governance
5. Attitude 5. Assistance 5. Multi-agency 5. Multi-agency
6. Capacity & training 6. Collaborative operation Network Network Differences:
7. Collaborative operation 7. Collective working 6. Resource 6. Resource  Several subcodes were different across cases
8. Collective working 8. Common assessment 7. Service 7. Service (CASE 1)
9. Common assessment 9. Communication 8. Stakeholder 8. Stakeholder 1. Attitude
10. Communication 10. Complex logistics 2. Capacity & training
11. Complex logistics 11. Consortiums 3. Computer networks
12. Computer networks 12. Contribution 4. Consumables
13. Consortiums 13. Cooperation 5. Deficient infrastructure
14. Consumables 14. Different interests 6. Early public information
15. Contribution 15. Disaster management 7. Expert police officers
16. Cooperation (DM) 8. Ineffective communication
17. Deficient infrastructure 16. Disaster victim 9. Knowledge dissemination
18. Different interests identification (DVI) 10. Lack of coordination
19. Disaster management 17. Disclosure 11. Lack of knowledge
(DM) 18. Displacement 12. Lack of standard
20. Disaster victim 19. DM service 13. Long term
identification (DVI) 20. DVI complexity 14. Number of victims
21. Disclosure 21. DVI service 15. Projects
22. Displacement 22. Emergency service 16. Reconstruction
23. DM service 23. Experience 17. Regional
24. DVI service 24. Extraordinary 18. Regional bureau
contribution 19. Rehabilitation

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 In-depth portrait of cases
Context Analysis Within-Case Analysis
Cross-Case Analysis
(Codes and Subcodes) (Themes)

Case 1 Case 2 Case 1 Case 2 Similarities and Differences

25. Early public 25. Formal relations 20. Restoration
information 26. General Secretariat 21. Specialised devices
26. Emergency service 27. Human capital 22. Support personnel
27. Experience 28. Income 23. Temporary offices
28. Expert police officers 29. Informal relations
29. Extraordinary 30. Information sharing (CASE 2)
contribution 31. Infrastructure 1. Administrative teams
30. Formal relations 32. International 2. DVI complexity
31. General Secretariat 33. International law 3. International standards
32. High staff turnover 34. International protocols 4. Lessons learnt
33. Human capital 35. International standards 5. Navy systems
34. Income 36. Knowledge 6. Resilience
35. Ineffective 37. Lessons learnt 7. Specialised teams
communication 38. Level of engagement
36. Informal relations 39. Local  In total, case 1 has 16 subcodes more than case 2
37. Information sharing 40. Mitigation service (23 differences for case 1 minus 7 differences for
38. Infrastructure 41. National case 2 = 16).
39. International 42. National Central  There are 30 different subcodes between both
40. International law Bureaus cases (23 differences for case 1 plus 7 differences
41. International protocols 43. Navy systems for case 2 = 30).
42. Knowledge 44. Non-alignment  Out of the 198 possible matches (8 themes, 99
43. Knowledge 45. Non-governmental codes and subcodes for case 1 plus 8 themes,
dissemination 46. Non-structural 83 codes and subcodes for case 2 = 198)
44. Lack of coordination mitigation service among themes, codes, and subcodes in the both
45. Lack of knowledge 47. Norm & legislation analysed cases, about 85% were similar and
46. Lack of standard 48. Operational barrier 15% were different.
47. Level of engagement 49. Operational facilitator
48. Local 50. Organisational norms
49. Long term 51. Partnership agreements

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 In-depth portrait of cases
Context Analysis Within-Case Analysis
Cross-Case Analysis
(Codes and Subcodes) (Themes)

Case 1 Case 2 Case 1 Case 2 Similarities and Differences

50. Mitigation service 52. Policy
51. National 53. Preparatory documents
52. National Central 54. Preparedness service
Bureaus 55. Private
53. Non-alignment 56. Public
54. Non-governmental 57. Public safety
55. Non-structural 58. Real-time
mitigation service communication
56. Norm & legislation 59. Recommendation
57. Number of victims 60. Recovery service
58. Operational barrier 61. Resilience
59. Operational facilitator 62. Response service
60. Organisational norms 63. Role & responsibility
61. Partnership agreements 64. Rigidity
62. Preparatory documents 65. Sector
63. Preparedness service 66. Skill
64. Private 67. Social appeal
65. Projects 68. Social capital
66. Public 69. Specialised teams
67. Public safety 70. Staff
68. Real-time 71. Statutory contribution
communication 72. Strategic barrier
69. Recommendation 73. Strategic facilitator
70. Reconstruction 74. Structural mitigation
71. Recovery service service
72. Regional 75. Structure
73. Regional bureaus 76. System integration
74. Rehabilitation 77. Systems & databases
75. Response service 78. Tactical barrier

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 In-depth portrait of cases
Context Analysis Within-Case Analysis
Cross-Case Analysis
(Codes and Subcodes) (Themes)

Case 1 Case 2 Case 1 Case 2 Similarities and Differences

76. Role & responsibility 79. Tactical facilitator
77. Restoration 80. Technical documents
78. Rigidity 81. Tools & technology
79. Policy 82. Training & capacity
80. Sector building
81. Skill 83. Underwater equipment
82. Social appeal
83. Social capital
84. Specialised devices
85. Staff
86. Statutory contribution
87. Strategic barrier
88. Strategic facilitator
89. Structural mitigation
service
90. Structure
91. Support personnel
92. System integration
93. Systems & databases
94. Tactical barrier
95. Tactical facilitator
96. Technical documents
97. Temporary offices
98. Tools & technology
99. Training & capacity
building

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 Codes

Themes Structure

Policy
Governance
Role &
Responsibility

Norm & legislation

Mitigation Service

Preparedness
Service
Service
Response Service

Recovery Service
Cross-Case Hierarchical Diagram

Staff

Tools &
Resource
Technology

Infrastructure

Social Capital
Multi-agency
Network
Human Capital

Actor
Stakeholder
Sector

Contribution
Finance
Income

Strategic Barrier

Barrier Tactical Barrier

Operational
Barrier
Strategic
Facilitator
Tactical
Facilitator
Facilitator
Operational
Facilitator
Figure 4.1 – Hierarchical diagram with similarities found in cross-case analysis

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4.2.3 Research generalizability

When the patterns from each case study were compared, a common explanation emerged,
then norms were established which will be used to generalise theories as well as to
characterise the main objective of this thesis that is to create a comprehensive crisis
management framework for transnational disaster under the auspices of INTERPOL. This
fact motivated to examine the research generalizability. According to Easterby-Smith et
al. (2012) generalizability in qualitative studies is the extent to which observations or
theories derived in one context can be applied to other context. In other words,
generalizability is the extension of the study to other domains. Shah and Corley (2006)
posits that case study research is often simple, accurate, and potentially generalizable
especially in multiple case studies For case study research, the latter is the appropriate
type (Creswell, 2013; Yin, 2009). In this research, meanings, perspectives and
understandings created in one case were examined through axial coding, cross-case
analysis, member checking, and critical reflection upon the similarities and differences
creating generalizability, as observed throughout Section 3.3 and highlighted in Table
4.3. Therefore, this thesis produced a generalizable research since the similarities that
emerged from case 1 (e.g. natural and open disaster) and case 2 (e.g. man-made and closed
disaster), evidenced throughout Section 3.3 and highlighted in Table 4.3, can be extended
or applied in a simple and accurate manner to other cases of transnational disasters under
the auspices of INTERPOL. Therefore, this research will propose a crisis management
framework (Chapter 4) based on themes, codes and relationships that can be transferable
from one context (e.g. natural and open disaster) to another context entirely different (e.g.
man-made and closed disaster) creating analytic generalizations, as advocated by Yin
(2011).

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4.3 Static CMF

The static CMF is a structure with concepts (codes) and categories (themes) that emerged
from data analysis (Chapter 3). In a practical context, it will be used to develop the
management activities as well as to plan or make decisions at INTERPOL. It consists of
four components:

 Categories (themes): define the overarching focus of the framework;

 Concepts (codes): refine the categories into specific aspects;

 Studied phenomena (scope): transnational disasters;

 Context (application domain): INTERPOL.

The static CMF is comprised of eight categories (themes) derived from data analysis:
governance, service, resource, multi-agency network, stakeholder, finance, barrier,
facilitator, and they will be used to plan and make decisions during crisis events involving
transnational disasters under the auspices of INTERPOL. In addition, the static CMF
encompasses twenty-three concepts (codes) emerged from the data analysis: structure,
policy, role & responsibility, norm & legislation, mitigation service, preparedness
service, response service, recovery service, staff, tools & technology, infrastructure,
social capital, human capital, actor, sector, contribution, income, strategic barrier, tactical
barrier, operational barrier, strategic facilitator, tactical facilitator, operational facilitator.
The aim of each concept was to refine the categories into comprehensible and applicable
aspects. These concepts were identified as success factors, which define each category.
In doing so, these categories and concepts serve as a checklist for crisis and disaster
managers in all organisational levels. Figure 4.2 depicts the static CMF.

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 Transnational Disasters

Response Recovery
Human
Service Service
Capital
Mitigation Preparedness Social
Service Service Capital
Structure
Incomes
Policy
Governance Service Resource Stakeholder
Contribution Role &
Responsibility

Strategic Multi-agency Norm &

Finance Barrier Facilitator
Barrier Network Legislation
Tactical
Barrier Actor Sector Staff
Operational Infrastructure
Operational
Barrier Facilitator Tools &
Strategic Technology
Tactical
Facilitator Facilitator

Figure 4.1 – The CMF for transnational disasters under competence of INTERPOL
INTERPOL

Figure 4.2 Visual schema representing the static CMF

4.4 Dynamic CMF

4.4.1 Relationships among categories in CMF

A vital aspect covered by CMF is the revelation of relationships between categories and
concepts. CMF uses these relationships to give a view of common building patterns
(concepts and categories) and to identify the actions that can be applied in all transnational
disasters under the auspice of INTERPOL. In the viewpoint of this researcher,
relationships are essential for scholars and practitioners have a thick and comprehensive
understanding of the actions undertaken by each element in the framework. The
identification of the relationships among the concepts and categories matches with the

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practical implementation of axial coding as advocated by Creswell (2013) and Easterby-
Smith et al. (2012), as presented in Section 3.3.5. In addition, a framework becomes more
expressive and adapted to learn from crisis whether the number and strengths of
relationships increase. Therefore, the relationships between concepts and categories
become essential and need to be mapped within the dynamic part of CMF. Consequently,
the dynamic CMF can be seen as a structure comprised of the relationships between
concepts and categories represented in class diagrams. These class diagrams are
developed using the Unified Modeling Language – UML (ISO/IEC, 2012; Nogueira,
2004). They will be used to give a unified view of common building patterns (concepts
and categories) and to identify the actions that can be applied in all transnational disasters
under the aegis of INTERPOL.

The Unified Modeling Language (UML) is used to represent the dynamic part of CMF
due to its standard of applicability and ease of comprehension for any researcher and
practitioner. Furthermore, the UML is an international standard (ISO/IEC 19505-1:2012)
and general-purpose modeling language with a semantic specification, a graphical
notation, an interchange format, and a repository query interface (ISO/IEC, 2012;
Nogueira, 2004, Rumbaugh et al., 2004). In this thesis, the class diagrams of UML will
be used in order to build the dynamic CMF and some basic definitions become necessary
to understand UML and its class diagrams.

Definition 1. An instance (also called as object) is a concrete manifestation of an

abstraction to which a set of operations or actions may be applied. Instances are used to
model subcodes and pieces of data that live in the real world. For example, the General
Secretariat of INTERPOL is an instance of the class Structure as well as the Universal
Declaration of Human Rights, the INTERPOL’s constitution, the rule for data processing
#12/2015, and the DVI guide are instances of the class Norm & Legislation.

Definition 2. A class is comprised of a set of instances. For example, all

categories/themes, concepts/codes, and the own CMF are classes. Graphically, a class is
represented as a rectangle with its name.

Definition 3. A class diagram is a diagram that shows a set of classes and their
relationships. Graphically, a class diagram is a collection of vertices (e.g. CMF,

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categories, and concepts) and arcs (i.e. relationships), as shown in Figures 4.2-4.10. There
are three basic types of relationships in class diagrams: association, generalisation, and
aggregation.

Definition 4. An association is a generic relationship that specifies that a class is

connected to another class and is rendered as a solid line ( ), possibly directed.

Definition 5. A generalisation is a particular kind of hierarchical association (“is a kind

of”) between a more specific class and a more general class, and is rendered as a line with
a hollow arrowhead pointing to the general class ( ).

Definition 6. An aggregation is another special kind of association representing a whole-

part (“has”) or part-whole (“part of”) association, and is rendered as an open diamond
pointing to the whole class ( ).

Definition 7. A cardinality of a relationship represents the amount of possible instances

in an association among classes. In many modeling situations, it is important to state how
many instances may be connected across a relationship. The cardinality is written as an
expression to a range of values or an explicit value, such as exactly one (1), zero or one
(0..1), zero-to-many (0..* or *), one-to-many (1..*), many-to-one (*..1), or many-to-many
(*..*).

After these core definitions about UML notation is possible to represent the relationships
between categories (themes) and concepts (codes) in CMF. The Figure 4.3 represents the
class diagram for CMF with its eight categories: governance, service, resource, multi-
agency network, stakeholder, finance, barrier, and facilitator.

Figure 4.3 – Relationships among CMF and its categories

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Table 4.4 is based on Figure 4.3 and depicts the relationships among CMF and its
categories with regard to INTERPOL context.

Table 4.4 – Relationships among CMF and its themes

Class Relationship Class Cardinality Description

Origin Target
CMF Association Governance (1) One instance of CMF uses one or
‘Uses’ (1..*) many instances of the Governance.
CMF Association Service (1) One instance of CMF provides one or
‘Provides’ (1..*) many instances of Services.
CMF Association Resource (1) One instance of CMF mobilises one
‘Mobilises’ (1..*) or many instances of Resources.
CMF Association Multi-Agency (1) One instance of CMF creates one or
‘Creates’ Network (1..*) many instances of Multi-Agency
networks.
CMF Association Stakeholder (1) One instance of CMF supports one or
‘Supports’ (1..*) many instances of Stakeholders.
CMF Association Finance (1) One instance of CMF seeks one or
‘Seeks’ (1..*) many instances of Finance.
CMF Association Barrier (1) One instance of CMF identifies one or
‘Identifies’ (1..*) many instances of Barriers.
CMF Association Facilitator (1) One instance of CMF identifies one or
‘Identifies’ (1..*) many instances of Facilitators.

4.4.2 Relationships between themes and concepts in CMF

Critically reflecting upon the Figures 4.2-4.3, Table 4.4 and analysing the comparative
study in Table 4.3 it was possible to infer some important relationships between each
category and its respective concepts that are valuable descriptions to CMF.

Theme 1: Governance

The research has shown that there is a direct connection between the governance
mechanisms to engage in transnational disasters and the actual application of crisis
management at INTERPOL. This research also revealed that INTERPOL uses some basic
governance elements when working in cases of transnational disasters: structures,
policies, norms and legislation, roles and responsibilities. First, this study identified that
the Disaster Unit at INTERPOL headquarter and the National Central Bureaus – NCBs
are the basic instances of the category physical structure (e.g. units, sectors, departments,
bureaus, or even whole organisations) and are mobilised for any kind of disaster under
the auspice of INTERPOL. As such, each disaster, whether transnational or not, involves

123
at least these two instances. However, depending on the type of disaster, other instances
of physical structure can emerge, such as the Bangkok Regional Bureau in case 1 –
tsunami. Second, the concept of policy means a course or principles of action adopted or
recommended by INTERPOL in cases of transnational disasters. Policies at INTERPOL
usually involve principles related to cooperation, assistance, and public safety instances,
and seek to achieve and preserve the interest of member countries. The political
commitment to manage a transnational disaster is ensured when a member country accept
or request the INTERPOL assistance. Third, in order to effectively fulfil its cross-border
activities, INTERPOL functions under norms and legislation, mainly when the crisis
management involves transnational disasters. These norms and legislation are grounded
in several instances, such as international laws (e.g. Universal Declaration of Human
Rights), organisational norms (e.g. constitution, resolutions, rules, regulations) and
technical documents (e.g. guides, manuals, fact sheets). Fourth, INTERPOL performs
several roles and responsibilities in all disaster’s phases (mitigation, preparedness,
response and recovery), such as disaster management, disaster victim identification,
information sharing, capacity building & training, knowledge dissemination, and
international standardization (Nogueira, 2016).

Finally, Figure 4.4 contains a class diagram with the theme governance and its concepts.
This figure indicates that the theme governance is associated through some relations with
its concepts structure, policy, role & responsibility, norm & legislation.

Figure 4.4 – Relationships between the theme governance and its concepts

Table 4.5 depicts the relationships between the theme governance and its concepts:
policy, role & responsibility, structure, and norm & legislation.

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Table 4.5 – Relationships between the theme governance and its concepts in CMF
Class Origin Relationship Class Cardinality Description
Target
Governance Association Policy (1) One instance of Governance adopts
‘Adopts’ (1..*) one or many instances Policy.
Governance Association Role & (1) One instance of Governance performs
‘Performs’ Responsibility (1..*) one or many instances of Role &
Responsibility.
Governance Association Structure (1) One instance of Governance involves
‘Involves’ (1..*) one or many instances of Structure.
Governance Association Norm & (1) One instance of Governance functions
‘Functions Legislation (1..*) under one or many Norm &
under’ Legislation.
Structure Association Role & (1..*) One or many instances of Structure
‘Follows’ Responsibility (1..*) follows one or many instances of Role
& Responsibility.
Structure Association Policy (1..*) One or many instances of Structure
‘Follows’ (1..*) follows one or many instances of
Policy.

Structure Association Norm & (1..*) One or many instances of Structure

‘Follows’ Legislation (1..*) follows one or many instances of
Norm & Legislation.

Theme 2: Service

In the context of this study, service means an action or effort performed to satisfy a need
or to fulfil a demand of INTERPOL member countries in cases of transnational disasters.
Concepts involving the theme service were clustered by disaster phase as presented in
Chapter 2: mitigation, preparedness, response, and recovery services. First, the concept
of mitigation service means the actions that INTERPOL uses to reduce the impact of
disasters and increase the resilience of member countries subject to the impact. In the
context of this study, resilience means the ability to bounce back or recover to normalcy
after a crisis or disaster occurs. INTERPOL produces resilience through shared role &
responsibility, respectful interaction, critical reflection on lessons learnt, technical
resourcefulness, forensic robustness, and re-evaluation and review of response phase.
Therefore, some structural and non-structural measures are taken which aim at decreasing
the impact of disaster on affected communities. Structural mitigation services provided
by INTERPOL include several facets from relocation of INTERPOL staff and offices in
NCBs up to the integration and update of information systems and databases. INTERPOL
also provides some non-structural mitigation services such as public education and public

125
awareness through meetings and recommendations on technical matters related to
transnational disasters. Second, INTERPOL provides preparedness services establishing
arrangements and plans through training & capacity building, preparatory documents, and
early public information. Third, as a form of response service, INTERPOL usually takes
action during, and immediately after disasters to ensure that their effects were minimised.
Response services are performed through Incident Responses Teams (IRTs) sent to the
sites of disasters. An IRT is typically composed of expert police officers and support staff,
and is tailored to the specific nature of the each disaster and the type of assistance that
INTERPOL is requested to provide (e.g. emergency service, disaster management
coordination, and DVI service). Fourth, INTERPOL provides recovery services
encompassing the reconstruction, restoration and rehabilitation of essential infrastructure,
resources and services for NCBs, including logistical networks, supply chains, IT &
telecommunication (Nogueira, 2016).

Ultimately, Figure 4.5 contains a class diagram with the relationships between the theme
service and its concepts. This figure indicates that the theme service is a generalisation of
its concepts: mitigation service, preparedness service, response service, and recovery
service. The cardinality one-to-many (1..*) in the generalisation represents an inheritance
association where each instance of the specific classes – mitigation service, preparedness
service, response service, or recovery service is a kind of the general class – service.

Figure 4.5 –Relationships between the theme service and its concepts

Table 4.6 depicts a hierarchical relationship between the theme service (general class)
and its concepts: mitigation service, preparedness service, response service, or recovery
service (specialised classes).

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Table 4.6 – Relationships between the theme service and its concepts in CMF
Class Relationship Class Cardinality Description
Origin Target
Mitigation Generalisation Service (1..*) One or many instances of Mitigation
Service ‘Is kind of’ (1) Service is a kind of Service.
Preparedness Generalisation Service (1..*) One or many instances of Preparedness
Service ‘Is kind of’ (1) Service is a kind of Service.
Response Generalisation Service (1..*) One or many instances of Response
Service ‘Is kind of’ (1) Service is a kind of Service.
Recovery Generalisation Service (1..*) One or many instances of Recovery
Service ‘Is kind of’ (1) Service is a kind of Service.

Theme 3: Resource

When a transnational disaster occurs, one country alone may not have sufficient resources
to deal with mass casualties. In these cases, the incident may have damaged or destroyed
the country’s existing infrastructure, tools and technologies, staff, making the task of
crisis management even more difficult. This research revealed that there are three
underlying concepts influencing the theme resource when it is related to transnational
disaster: staff, tools & technology, and infrastructure. First, in the context of this study,
the concept of staff means a group of people who work for INTERPOL and is engaged
with cases of disasters. Staff members are usually comprised of expert police officers and
support personnel composing the INTERPOL teams for crisis management. Second, the
concept of tools and technologies is related to systems and databases, computer networks,
communication mechanisms. At INTERPOL, the tools and technologies for disaster
management comprise a vast offer of resources, such as I-24/7 system, FASTID system,
I-Link system, AFIS system and database, DNA profiles database, nominal database, and
MPUB database. Third, the concept of infrastructure is related to the basic physical
structures needed for the operation of each disaster team. For example, temporary offices,
consumables, and specialised devices were the main instances of infrastructure resources
for case 1, whilst the underwater equipment and navy systems were the most relevant for
case 2.

Finally, Figure 4.6 contains a class diagram with the relationships between the theme
resource and its concepts. This figure indicates that the theme resource presents an
aggregation relationship with its concepts staff, tools & technology, infrastructure. Then,
staff, tools & technology, and infrastructure concepts are parts of the theme resource. The
cardinality one-to-many (1..*) in the aggregation means that INTERPOL resources are

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comprised of many staff members, tools & technologies, and infrastructures when
actuating in cases of transnational disasters (Nogueira, 2016).

Figure 4.6 – Relationships between the theme resource and its concepts
Table 4.7 depicts the relationships between the theme resource and its concepts: staff,
tools & technology, and infrastructure.

Table 4.7 – Relationships between the theme resource and its concepts in CMF
Class Relationship Class Cardinality Description
Origin Target
Staff Aggregation Resource (1..*) One or many instances of Staff is part
‘Part of’ (1) of one instance of Resource. Resource
has Staff as its component.
Tools & Aggregation Resource (1..*) One or many instances of Tools &
Technology ‘Part of’ (1) Technology is part of one instance of
Resource. Resource has Tools &
Technology as its component.
Infrastructure Aggregation Resource (1..*) One or many instances of Infrastructure
‘Part of’ (1) is part of one instance of Resource.
Resource has Infrastructure as its
component.

Theme 4: Multi-Agency Network

Organisations are not alone in the scenario of international crisis and disaster
management. The public sector with its governmental agencies interacts with private
sector and non-profit agencies to protect from natural or man-made disasters. Therefore,
a multi-agency network develops a fundamental role in this disaster setting. As mentioned
in Chapter 2, a multi-agency network is a group of interconnected agencies with their
respective members who work together and share resources, services, knowledge, skills,
experiences and other relevant elements. This study confirms that there are two main
concepts influencing the theme multi-agency network when related to transnational
disaster: social capital and human capital. The definitions of social capital vary according
to whether the focus is on substance, sources, or effects (Johnson and Elliott, 2011,

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p.105). In order to avoid misunderstanding or different interpretations, for this study
social capital represents the relationships between people or organisations that work
together with INTERPOL enabling to function effectively in coping transnational
disasters and is comprised of formal and informal social relations. The formal relations
(contractual) for INTERPOL are grounded in official written documentation, such as
cooperation agreements, international conventions, contracts, and official partnerships.
On the other hand, informal relations (non-contractual) are comprised of personal
relationships based on trust and respect, such as shared understanding and knowledge,
reputation, informal agreements, information exchange, network of contacts (e.g. contact
lists with telephones and e-mails of key people). In turn, the human capital is a set of
skills, knowledge, experiences, and attitudes possessed by a staff member (police officer
or support personnel) or specialised teams, viewed in terms of their values to INTERPOL
when facing transnational disasters.

At last, Figure 4.7 contains a class diagram with the relationships between the theme
multi-agency network and its concepts. This figure indicates that theme multi-agency
network presents an aggregation relationship with its concepts social capital and human
capital. Therefore, the concepts of social capital and human capital are parts of the theme
multi-agency network. The cardinality one-to-many (1..*) in the aggregation means that
the INTERPOL has social capital and human capital as part of its multi-agency network
when actuating in cases of transnational disasters (Nogueira, 2016).

Figure 4.7 – Relationships between the theme multi-agency network and its concepts

Table 4.8 depicts the relationships between the theme multi-agency network and its
concepts: social capital and human capital.

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Table 4.8 – Relationships between the theme multi-agency network and its concepts in CMF
Class Relationship Class Cardinality Description
Origin Target
Social Aggregation Multi-Agency (1..*) One or many instances of Social Capital
Capital ‘Part of’ Network (1) is part of one instance of Multi-Agency
Network. Multi-Agency Network has
Social Capital as its component.
Human Aggregation Multi-Agency (1..*) One or many instances of Human
Capital ‘Part of’ Network (1) Capital is part of one instance of Multi-
Agency Network. Multi-Agency
Network has Human Capital as its
component.

Theme 5: Stakeholder

Stakeholder in this research denotes a person, group or organisation that has interest or
concern in INTERPOL's success with regard to management of transnational disasters.
Crises impact upon a wide range of stakeholders and this study revealed that there are
two central concepts influencing the theme stakeholder when related to transnational
disaster: actor and sector. Therefore, the stakeholders’ interests and concerns can affect
or be affected by actors and sectors (Nogueira, 2016). First, actor is a kind of stakeholder
and can be clustered by different spheres of activity: international, regional, national, and
local. International actors are represented by international organisations and groups, such
as all nations that have incurred human losses, foreign affairs departments, international
funding nations, international agencies (e.g. INTERPOL, UN, IFRC, ICAO),
international forensic laboratories, international companies. Regional actors are
represented by regional unions, such as regional bodies, task forces, regional funding
nations, and regional law enforcement agencies (e.g. EUROPOL, AMERIPOL,
ASEANAPOL, CARICOM, SADC, FRONTEX). National actors are represented by
national organisations and groups, such as national governmental departments, national
law enforcement agencies (e.g. FBI, BFP, BKA), national health agencies, national
forensic teams. Local actors are represented by local or provincial organisations, groups,
and people, such as local governmental departments, local law enforcement agencies,
local forensic teams, local health agencies, volunteers, and families of the victims.
Second, this study revealed that the stakeholders could also be clustered by society
sectors: public, private, and non-governmental. The concept of sector emerged as a kind
of the theme stakeholder. Public sector means the part of an economy that is controlled
by the state and is concerned with providing various government services. Private sector

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means the part of an economy that is run by private individuals, groups, or companies.
Non-governmental sector means the part of an economy that not belonging to or
associated with any government. In the context of this research, the non-governmental
sector is only represented by non-profit organisations, agencies or groups.

Ultimately, Figure 4.8 contains a class diagram with the relationships between the theme
stakeholder and its concepts. This figure indicates that theme stakeholder presents an
aggregation relationship with its concepts actor and sector. Therefore, the concepts of
actor and sector are parts of the theme stakeholder. The cardinality one-to-many (1..*) in
the aggregation means that the INTERPOL has different actors and sectors as part of its
stakeholders when participating in cases of transnational disasters.

Figure 4.8 – Relationships between the theme stakeholder and its concepts

Table 4.9 depicts the relationships between the theme stakeholder and its concepts: actor
and sector.

Table 4.9 – Relationships between the theme stakeholder and its concepts in CMF
Class Relationship Class Cardinality Description
Origin Target
Actor Aggregation Stakeholder (1..*) One or many instances of the Actor is part
‘Part of’ (1) of one instance of Stakeholder.
Stakeholder has Actor as its component.
Sector Aggregation Stakeholder (1..*) One or many instances of Sector is part of
‘Part of’ (1) one instance of Stakeholder.
Stakeholder has Sector as its component.

Theme 6: Finance

In the context of this study, finance means a branch of INTERPOL that concerns with
allocation and management of financial resources. This research revealed that there are
two central concepts influencing the theme finance when related to transnational disaster:
contribution and income. The financial assistance to response, recovery, mitigation, and

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preparedness phases are provided by different sources, such as statutory and extraordinary
contributions, and incomes (Nogueira, 2016). First, the major part of INTERPOL’s
operating finance for all matters including disasters comes from contributions by member
countries (70% of the total) where statutory contribution represents 63% of the total and
extraordinary contribution 7% of the total. Second, the income received on externally
funded projects or from private foundations and/or commercial enterprises, with like
objectives or interests as INTERPOL, constitutes about 30% of gross income for
disasters. It is important to highlight that the management of transnational disasters is an
expensive activity, quickly consuming INTERPOL’s contributions and incomes. So, that
is the reason why there is a specific theme for finance.

Finally, Figure 4.9 contains a class diagram with the relationships between the theme
finance and its concepts. This figure indicates that theme finance presents a generalisation
relationship with its concepts contribution and income. The cardinality one-to-many
(1..*) in the generalisation represents an inheritance association where each instance of
the specific classes – contribution or income is a kind of the general class – finance.

Figure 4.9 – Relationships between the theme finance and its concepts

Table 4.10 depicts a hierarchical relationship between the theme finance (general class)
and its concepts: contribution and income (specialised classes).

Table 4.10 – Relationships between the theme finance and its concepts in CMF
Class Relationship Class Cardinality Description
Origin Target
Contribution Generalisation Finance (1..*) One or many instances of Contribution
‘Is kind of’ (1) is a kind of Finance.
Income Generalisation Finance (1..*) One or many instances of Income is a
‘Is kind of’ (1) kind of Finance.

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Theme 7: Barrier

Based on both case studies, this research revealed several barriers that fit well with the
Table 2.1 (Chapter 2). These barriers were grouped in three concepts: strategic barrier,
tactical barrier and operational barrier following the same schema presented in Table 2.1.
First, this study identified the rigidity of core beliefs, non-alignment and different
interests among agencies, initial lack of coordination, long-term activity as strategic
barriers. Second, this study identified the lack of common assessment and knowledge
about the roles and responsibilities, difficulty to integrate systems and databases, complex
logistics, and non-accomplishment of international protocols as tactical barriers. Third,
this study identified the deficient country’s infrastructure, number of victims, lack of
standard, ineffective communication, complexity of DVI activities, and low level of
engagement among different agencies as operational barriers. Furthermore, taking into
account the experience of this researcher in several transnational disasters it is possible to
infer that these barriers may generate obstacles to the effectiveness of multi-agency
working.

Ultimately, Figure 4.10 contains a class diagram with the relationships between the theme
barrier and its concepts. This figure indicates that the theme barrier presents a
generalisation relationship with its concepts: strategic barrier, tactical barrier, and
operational barrier. The cardinality one-to-many (1..*) in the generalisation represents an
inheritance association where each instance of the specific classes – strategic barrier,
tactical barrier, or operational barrier is a kind of the general class – barrier.

Figure 4.10 – Relationships between the theme barrier and its concepts

Table 4.11 depicts a hierarchical relationship between the theme barrier (general class)
and its concepts: strategic barrier, tactical barrier, and operational barrier (specialised
classes).

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Table 4.11 – Relationships between the theme barrier and its concepts in CMF
Class Relationship Class Cardinality Description
Origin Target
Strategic Generalisation Barrier (1..*) One or many instances of Strategic
Barrier ‘Is kind of’ (1) Barrier is a kind of Barrier.
Tactical Generalisation Barrier (1..*) One or many instances of Tactical
Barrier ‘Is kind of’ (1) Barrier is a kind of Barrier.
Operational Generalisation Barrier (1..*) One or many instances of Operational
Barrier ‘Is kind of’ (1) Barrier is a kind of Barrier.

Theme 8: Facilitator

All facilitators identified in the analysed transnational disasters cases fit well with the
Table 2.2 (Chapter 2). These facilitators were grouped in three concepts: strategic
facilitator, tactical facilitator and operational facilitator (Nogueira, 2016). First, this study
revealed the social appeal and partnership agreements as strategic facilitators for both
studied cases. Second, this study revealed the disclosure of norms, shared displacement
of resources, and real-time communication as tactical facilitators for both studied cases.
Third, this study revealed the collective working and collaborative operation as
operational facilitators for both studied cases.

At last, Figure 4.11 contains a class diagram with the relationships between the theme
facilitator and its concepts. This figure indicates that the theme facilitator also presents a
generalisation relationship with its concepts: strategic facilitator, tactical facilitator, and
operational facilitator. The cardinality one-to-many (1..*) in the generalisation represents
an inheritance association where each instance of the specific classes – strategic
facilitator, tactical facilitator, or operational facilitator is a kind of the general class –
facilitator.

Figure 4.11 – Relationships between the theme facilitator and its concepts

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Table 4.12 depicts a hierarchical relationship between the theme facilitator (general class)
and its concepts: strategic facilitator, tactical facilitator, and operational facilitator
(specialised classes).

Table 4.12 – Relationships between the theme Facilitator and its concepts in CMF
Class Relationship Class Cardinality Description
Origin Target
Strategic Generalisation Facilitator (1..*) One or many instances of Strategic
Facilitator ‘Is kind of’ (1) Facilitator is a kind of Facilitator.
Tactical Generalisation Facilitator (1..*) One or many instances of Tactical
Facilitator ‘Is kind of’ (1) Facilitator is a kind of Facilitator.
Operational Generalisation Facilitator (1..*) One or many instances of Operational
Facilitator ‘Is kind of’ (1) Facilitator is a kind of Facilitator.

4.5 Conclusion

This chapter revealed the main contribution of this thesis. The data analysis process was
done in order to find out the categories (themes) and concepts (codes) in both cases. A
specific formal notation was created as unit of reference in order to build databases to
multiple case studies, to maintain the chain of evidence (data path) within the data storage
protocol as much as to facilitate the data management including the identification,
localization, traceability of the collected data. Cross-case analysis was used to examine
codes and themes across cases in order to figure out similarities and differences between
the investigated cases. An investigative sequence was done in order to make sense of the
data. This sequence started by the analysis of physical artefacts (documents, photos, and
videos) followed by interviews and focus groups. Therefore, this thesis produced a
generalizable research since the similarities that emerged from case 1 (e.g. natural and
open disaster) and case 2 (e.g. man-made and closed disaster) can be extended or applied
in a simple and accurate manner to subsequent cases of transnational disasters under the
auspice of INTERPOL.

This research created an innovative crisis management framework (CMF) to manage

transnational disasters based on the studied cases and the emerged concepts and
categories presented in the data analysis. It is a two-dimensional framework comprised
of static and dynamic structures. The static structure encompass four components: (1)
eight categories (themes) that defined the overarching focus of the framework; (2) twenty-
three concepts (codes) that refined the categories into specific aspects; (3) studied
phenomena (scope) that was the transnational disasters; (4) context (application domain)

135
that was the INTERPOL organisation. All these components were identified as key
indicators for transnational disasters and can be used to develop the management
activities as well as to plan or make decisions. The dynamic structure presented the
relationships between concepts and categories emerged in the static model. It was
represented in class diagrams developed using the Unified Modeling Language – UML
(ISO, 2012; Nogueira, 2004) and can be used to create databases and information systems.
Therefore, the dynamic structure was used to give a unified view of common building
patterns (concepts and categories) and to identify the actions and relationships that can be
applied in all transnational disasters under the aegis of INTERPOL.

The following chapter will address the findings and discussions. It will start by discussing
the priorities for action on how to implement and put them in practice. It will suggest
recommendations for effective and efficient crisis management at INTERPOL. It will
disclose the CMF Information System (CRIMAFIS), a business intelligence system
developed by this researcher. This chapter will answer the research questions – central
and complementary – proposed in Chapter 1 and re-emphasised in Chapter 3. At last, this
chapter will also reveal the impacts of CMF at INTERPOL.

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Chapter 5
Findings and Discussions
5.1 Introduction

This thesis is the unique applied research to explain, describe, and detail the work that is
required from eight thematic domains for INTERPOL to manage transnational disasters.
This is a key chapter since it is possible to point to ways in which this thesis put in practise
its results, disseminating ideas and recommendations with emphasis on how this doctoral
research may percolate through to a range of stakeholders amongst the internal units as
well as multi-agencies that INTERPOL works with.

First, this chapter starts by discussing the priorities for action on how to implement and
put them in practice in the eight thematic areas emergent from the themes found in CMF.
Second, this chapter suggests forty-two recommendations for an effective and efficient
crisis management in order to provide the best course of action on how to manage
transnational disasters, especially suitable for INTERPOL and its stakeholders. Third, this
chapter presents the CMF Information System (CRIMAFIS) a business intelligence
system with its various databases (i.e. one for each theme/category proposed in this thesis)
developed by this researcher. Fourth, this chapter answers the research questions – central
and complementary – proposed in Chapter 1 and re-emphasised in Chapter 3. Fifth, this
chapter reveals the impacts of CMF at INTERPOL in different levels: individual,
departmental, and organisational.

5.2 Priorities for action

This thesis raises important issues into priority areas emerged from the eight themes
where the crisis management has a transformational and cumulative impact within the
INTERPOL efforts to manage transnational disasters. Thus, this section provides the
priorities by considering actions to be implemented in the eight thematic areas emergent
from the themes found in CMF: governance, service, resource, multi-agency network,
stakeholder, finance, barrier, and facilitator. As emphasised in Section 3.3.4, the criterion
used in this thesis for what constitute a theme was its relevance within the analysed case
as an exploratory factor, as advocated by Corbin and Strauss (2008), Yin (2009), and
Creswell (2013)

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 1 - Governance

Govern the activity of INTERPOL in cases of transnational disasters through the

Priority for action:
structures, policies, norms & legislation, roles & responsibilities.

2 - Service

Perform mitigation, preparedness, response, and recovery services to satisfy the

Priority for action:
needs of INTERPOL member countries in cases of transnational disasters.

3 - Resource

Mobilise infrastructure, tools & technology, and human resources to attend

Priority for action:
INTERPOL member countries in cases of transnational disasters.

4 - Multi-agency Network

Facilitate the creation of multi-agency networks taking into account the social and
Priority for action:
human capitals.

5 - Stakeholder

Support key actors and sectors that has interest or concern in INTERPOL's success
Priority for action:
with regard to management of transnational disasters.

6 - Finance

Seek and manage financial assistance to response, recovery, mitigation, and

Priority for action:
preparedness phases of disasters.

7 - Barrier

Identify and reduce strategic, tactical and operational barriers related to

Priority for action:
transnational disasters.

8 - Facilitator

Identify and increase strategic, tactical and operational facilitators related to

Priority for action:
transnational disasters.

Figure 5.1 – Priorities for action

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5.3 Recommendations

In the context of this thesis, recommendation is a suggestion or proposal as to the best

course of action on how to manage transnational disasters, especially suitable for
INTERPOL and its members. The importance to create recommendations in crisis
management is highlighted by Elliott and Macpherson (2010) when these authors argue
that recommendations are essential in learning from crisis because they stipulate new
protocols for the future, and actions taken in a future event (e.g. a disaster) might be
judged against the way in which the recommendations have been adopted.

This thesis produced 42 important recommendations for INTERPOL as presented in

Table 5.1. Such recommendations present the actionable knowledge obtained from the
CMF. They can be operationalized as response to be implemented by different actors
(local, regional, national, and transnational) and sectors (public, private, and NGO). The
deployment of each recommendation is depicted within the column Implementation
(Actors and Sectors) presented in Table 5.1. Therefore, these recommendations take into
account the CMF results and are the core elements that will encourage the decision
makers at INTERPOL and the main stakeholders to work together using the governance
mechanisms, mobilising resources and services, creating multi-agency networks,
undertaking finance arrangements, sharing knowledge, information, systems and
databases, functioning under norms and legislations, delineating roles and
responsibilities, adopting policies, and identifying the main barriers and facilitators
related to transnational disasters. Furthermore, the purpose of these recommendations is
also to ensure the commitment of leaders and managers at INTERPOL since they play an
active part in the supervision and management of practices.

In the actual practice, the recommendations at INTERPOL were implemented in an

interactive process involving different units that worked in the management of
transnational disasters, noticeable the General Secretariat (GS) with its Disaster Unit
(DU), Police Forensic Directorate (PFD), and Operational Directorate (OP); the Regional
Bureaus (RB); the National Central Bureaus (NCB). The units involved in the
implementation process varied according to each type of recommendation. Therefore, the
42 recommendations presented in Table 5.1 were critically reflected, presented, and
approved to be implemented. After the approval, the recommendation takes a time to be
implemented because it depends on different actors. However, several recommendations
have already been implemented by INTERPOL. In the context of INTERPOL, a

139
recommendation was implemented when it was officially enacted and published as
‘INTERPOL recommendation’, and it had a status called as 'done’. After the publication,
INTERPOL member countries can undertake their activities grounded in approved and
accepted recommendations. As result, they can show that they are following an
international recommendation produced by INTERPOL. Furthermore, the discussions
during the ordinary meetings at INTERPOL, the recommendations 3, 4, 5, 6, 7, 9, and 11
involved PFD as the main decision maker. Therefore, it was decided that the PFD would
give the final approval to implement these recommendations.

Thus, the recommendations 3, 4, 5, 6, 7, 9, and 11 were discussed within the DU and after
being presented to PFD. It is important to highlight that the recommendations presented
by DU need to be approved by PFD since DU is a unit of PFD. Thus, after the discussions
during the ordinary weekly meetings at PFD these above mentioned recommendations
were presented and approved in order to be implemented. For example, the Critical
Decisions Register (CDR) was created as a database (recommendation 3) and it was
functioning as part of the PFD databases and being used by INTERPOL member countries
through security intranet. Thus, this recommendation 3 was communicated to INTERPOL
member countries and they are aware of its content; consequently, this recommendation
was officially published (done). Similarly, following the same workflow, the
recommendations 4, 5, 6, 7, 9, and 11 were approved by PFD, officially published, and
communicated to INTERPOL member countries. Therefore, the GS defined the policies,
roles and responsibilities of its structure of governance (recommendation 4); elaborated
supportive internal norms specifically for transnational disasters (recommendation 5);
developed a new information management system as part of the I-Link international
system (recommendation 6); developed realistic and measurable indicators of disaster
management, i.e. the same CMF key factors (themes and codes) developed in this thesis
(recommendation 7); defined goals and commitments with key stakeholders
(recommendation 9); strengthened the DU at INTERPOL headquarter recruiting more
specialised police officers to manage the new procedures, systems, and databases
(recommendation 11). As such, the recommendations 3, 4, 5, 6, 7, 9, and 11 were already
officially published, consequently implemented (done). Based on these
recommendations, two new indicators were created at disaster unit and operational
directorate (resources, services), standard operational procedures (POPs #DU289,
#PFD292, #OD301) were developed at police forensic directorate and operational

140
directorate, IRTs have operated the CRIMAFIS integrated with I-Link system, the first
workshop to discuss CMF and CRIMAFIS with key stakeholders was held in
Lyon/France, in June/2015, a new recruitment of 2 police officers for disaster unit was
achieved to manage the new POPs, CMF, and CRIMAFIS system.

The recommendations 1, 2, 8, 10, 12, 15, 20, 21, 22, 23, 24, 25, 26, and 33 were discussed
within the DU and presented to PFD for approval. After the discussions during the
ordinary weekly meetings at PFD these above mentioned recommendations were
presented and it was decided that the GS, RB, and NCB would give the final approvals to
implement these recommendations. Thus, the GS, RB, and NCB representatives also gave
their approvals and the recommendations were communicated to INTERPOL member
countries; consequently, these recommendations were officially published (done).
Therefore, the GS, RB, and NCB used the CRIMAFIS system with its databases (see
Section 5.4) as an database containing the information about the governance, services,
resources, multi-agency network, stakeholders, finances, facilitators, and barriers
(recommendation 1); designated the commission for the institutional control as the
appropriate organisational mechanism (recommendation 2); established a finance team
responsible for prospect and allocate contributions, incomes, and voluntary public-private
funds (recommendation 8); created a register based on the INTERPOL multi-agency
networks using the CRIMAFIS system (recommendation 10); used the CRIMAFIS to
create a database containing information about the human capital (recommendation 12);
defined the key factors presented as part of the Crisis Management Framework – CMF
(see Chapter 4) as an international guidance incorporated in the initial and final
assessment reports of missions (recommendation 15); assisted and strengthened the
overall capacity of disaster-prone countries using the CMF and CRIMAFIS system
(recommendation 20); used the CMF and CRIMAFIS system to be proactive in the
disaster management since this system had the key factors related to transnational
disasters (recommendation 21); used the CRIMAFIS system to update and monitor the
mitigation services (recommendation 22); used the CRIMAFIS system to update and
monitor the preparedness services (recommendation 23); used the CRIMAFIS system to
update and monitor the response services (recommendation 24); used the CRIMAFIS
system to update and monitor the recovery services (recommendation 25); used the
CRIMAFIS system to prepare and periodically update disaster preparedness and
contingency plans (recommendation 26); used the CRIMAFIS system to maintain a web-

141
based global information platform on transnational disasters (recommendation 33).
However, the recommendation 32 was still ongoing since the data mining search engine
to examine large pre-existing databases was not concluded.

The recommendations 13, 14, 16, 30, and 39 were discussed within the DU and presented
to PFD for approval. After the discussions during the ordinary weekly meetings at PFD
these above mentioned recommendations were presented and it was decided that the NCB
would give the final approval to implement these recommendations. Thus, the NCB
representative also gave its approval to recommendation 13 and this recommendations
was communicated to INTERPOL member countries; consequently, this
recommendation was officially published (done). Therefore, the NCB sent an official
message to GS demonstrating strong political commitment to promote and integrate the
key factors presented in CMF as part of its development programming (recommendation
13). However, the recommendations 14, 16, 30, and 39 were ongoing. The NCB was still
working to develop procedures for reviewing the national progress based on the CMF
(recommendation 14); to prepare and publish national baseline assessments with the
status of their crisis management according to CMF (recommendation 16); to develop of
their training requirements around internationally agreed minimum standards and in
accordance with the CMF (recommendation 30); to review their national capacity to
respond to transnational disasters in line with the CMF (recommendation 39).

The recommendations 17, 18, 19, 27, 28, 29, 31, 34, 35, 36, 37, 38, 40, 41, and 42 were
discussed within the DU and presented to PFD for approval. After the discussions during
the ordinary weekly meetings at PFD these above mentioned recommendations were
presented and it was decided that the GS, RB, NCB, and external stakeholders directly
involved in these recommendations would give the final approval to implement these
recommendations. Thus, the GS, RB, NCB, and external stakeholders representatives
gave their approval to the recommendations 17, 18, 27, 29, 34, 35, 40 and 42, these
recommendations were communicated to INTERPOL member countries; consequently,
these recommendations were officially published (done). Therefore, the GS, RB, NCB,
and external stakeholders representatives sent formal messages through memorandum,
electronic message, or INTERPOL notice highlighting the importance of international
cooperation in the field of transnational disaster management (recommendation 17);
created a working group to facilitate the formal and informal relations contributing to the
implementation of the CMF (recommendation 18); carried out monthly workshops to

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promote the culture of safety and disaster resilience based on CMF (recommendation 27);
used the CRIMAFIS system to transfer knowledge, technology and expertise
(recommendation 29); used the CRIMAFIS system to enhance the logistics of
INTERPOL and its multi-agency networks (recommendation 34); evaluated existing
human capital for transnational disasters based on CMF and developed capacity-building
plans (recommendation 35); undertook monthly events such as seminars or working
groups in order to promote partnerships among key stakeholders (recommendation 40);
used the CMF and CRIMAFIS system as bases to minimise the barriers and maximise the
facilitators regarding to transnational disasters (recommendation 42). However, the
recommendations 19, 28, 31, 36, 37, 38, and 41 were ongoing. The GS, RB, NCB, and
external stakeholders representatives still working to implement and strengthen the legal
and normative instruments related to transnational disaster (recommendation 19); to
develop early warning systems of triggers of transnational disasters in vulnerable member
countries (recommendation 28); to adopt business protocols and standard operational
procedures (SOP) based on the themes and concepts developed in CMF (recommendation
31); to mobilise sufficient resources for the development and the implementation of
disaster management, including staff, tools and technologies, and infrastructure
components on the basis of clearly prioritized actions demonstrated in CMF, but this is
depending on the additional funding (recommendation 36); to create a specific emergency
fund for transnational disasters, but this is depending on the approval of the INTERPOL
General Assembly delegates appointed by each member country (recommendation 41).

Table 5.1 - Recommendations for INTERPOL grounded in CMF

Implementation
No Recommendation Status
(Actors and Sectors)
1. It is recommended that INTERPOL develops a matrix or GS, RB, and NCB 7 Done
database of governance, services, resources, multi-agency
network, stakeholders, finances, facilitators, and barriers in
support of follow-up to this CMF and in accordance to the
priorities for action.
2. It is recommended that INTERPOL designates an GS, RB, and NCB Done
appropriate institutional mechanism for the implementation
and follow-up of this CMF, and communicates the
outcomes to the GS.
3. It is recommended that INTERPOL General Secretariat GS Done
creates and maintains a Critical Decisions Register (CDR)
or database grounded in this CMF as good practice for
future missions.

7 See list of abbreviations and acronyms.

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 Implementation
No Recommendation Status
(Actors and Sectors)
4. It is recommended that INTERPOL General Secretariat GS Done
clearly defines policies, roles and responsibilities of its
structure of governance at all levels taking into account this
CMF when actuating in transnational disasters.
5. It is recommended that INTERPOL General Secretariat GS Done
elaborates supportive internal norms specifically for
transnational disasters, as part of the governance
mechanisms presented in this CMF.

6. It is recommended that INTERPOL General Secretariat GS Done

develops a new information management system on an
international basis for use in future disasters taking into
account this CMF.
7. It is recommended that INTERPOL General Secretariat GS Done
develops realistic and measurable indicators of disaster
management based on the CMF’s themes and concepts in
order to enable decision-makers to evaluate the impact of
transnational disasters.
8. It is recommended that INTERPOL establishes a finance GS, RB, and NCB Done
team responsible for prospect and allocate contributions,
incomes, and voluntary public-private funds using this CMF
as parameter in order to ensure that sufficient and
appropriate logistics, resources, and services are available
in a timely manner for all disaster phases.
9. It is recommended that INTERPOL has clearly defined GS Done
goals and commitments of key stakeholders (theme
evidenced in this CMF) in managing transnational disasters.
10. It is recommended that INTERPOL maintain a register of GS, RB, and NCB Done
its multi-agency networks taking into account the codes and
themes evidenced in this CMF in order to ensure that efforts
are focused and targeted but not duplicated.
11. It is recommended that INTERPOL strengthens the Disaster GS Done
Unit at INTERPOL headquarter since as presented in this
CMF it is a key structure mobilised for all types of disaster.
12. It is recommended that INTERPOL clearly define, GS, RB, and NCB Done
grounded in this CMF, the human capital of its managers
and team members designated to future operations can
accomplish their qualifications and expertise.
13. It is recommended that INTERPOL member countries NCB Done
demonstrate strong political commitment to promote and
integrate the CMF into development programming.
14. It is recommended that INTERPOL member countries NCB Ongoing
develop procedures for reviewing the national progress
against this CMF.
15. It is recommended that INTERPOL uses this CMF as an GS, RB, and NCB Done
international guidance and incorporates it into both the
initial assessment and the final assessments of ongoing
missions.
16. It is recommended that INTERPOL member countries NCB Ongoing
prepare and publish national baseline assessments with the
status of their crisis management according to this CMF.

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 Implementation
No Recommendation Status
(Actors and Sectors)
17. It is recommended that INTERPOL takes into account the GS, RB, NCB, and Done
importance of international cooperation in the field of External
transnational disaster management as evidenced in the Stakeholders8
policies of CMF.
18. It is recommended that INTERPOL develops formal and GS, RB, NCB, and Done
informal relations contributing to the implementation of this External Stakeholders
CMF.
19. It is recommended that INTERPOL implements and GS, RB, NCB, and Ongoing
strengthens the legal and normative instruments related to External Stakeholders
transnational disaster taking into account the concepts and
categories presented in this CMF.
20. It is recommended that INTERPOL assists and strengthens GS, RB, and NCB Done
the overall capacity of disaster-prone countries using this
CMF, especially in Africa, Nation-States in small islands in
South Pacific, and least developed countries, with particular
care to their upper vulnerability and risk levels, which often
exceed their capacity to respond to and recover from
transnational disasters.
21. It is recommended that INTERPOL be proactive at the time GS, RB, and NCB Done
of a disaster to offer assistance and coordination to host
nations bearing in mind the phases of preparedness and
mitigation, as presented in CMF and Chapter 2.
22. It is recommended that INTERPOL updates and monitors GS, RB, and NCB Done
its mitigation services according to this CMF, including
non-structural mitigation service and structural mitigation
service.
23. It is recommended that INTERPOL updates and monitors GS, RB, and NCB Done
its preparedness services according to this CMF, including
early public information, training & capacity building, and
preparatory documents.
24. It is recommended that INTERPOL updates and monitors GS, RB, and NCB Done
its response services according to this CMF, including
emergency service, disaster management service, and DVI
service.
25. It is recommended that INTERPOL updates and monitors GS, RB, and NCB Done
its recovery services according to this CMF, including
reconstruction, restoration, rehabilitation, and assessments.
26. It is recommended that INTERPOL prepares and GS, RB, and NCB Done
periodically updates disaster preparedness and contingency
plans at all levels taking into account this CMF.
27. It is recommended that INTERPOL promotes a culture of GS, RB, NCB, and Done
safety and disaster resilience based on this CMF in order to External Stakeholders
enhance governance for disaster management and for
awareness-raising initiatives, mainly in least developed
countries.
28. It is recommended that INTERPOL encourages GS and GS, RB, NCB, and Ongoing
global agencies to develop early warning systems for External Stakeholders
transnational disasters in vulnerable member countries, as
evidenced in the preparedness services of this CMF.

8 External stakeholders are external people, groups, agencies, or organisations that has interest or concern in
INTERPOL's success with regard to management of transnational disasters. The main external stakeholders were
presented in Figure 2.3 (Chapter 2).

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 Implementation
No Recommendation Status
(Actors and Sectors)
29. It is recommended that INTERPOL transfers knowledge, GS, RB, NCB, and Done
technology and expertise, as evidenced in this CMF, in External Stakeholders
order to enhance capacity building for disaster management.
30. It is recommended that INTERPOL member countries NCB Ongoing
encourage the development of their training requirements
around internationally agreed minimum standards and in
accordance with this CMF.
31. It is recommended that INTERPOL develops and adopts GS, RB, NCB, and Ongoing
business protocols and standard operational procedures External Stakeholders
(SOP) based in the themes and concepts of this CMF for
future use in transnational disasters.
32. It is recommended that INTERPOL uses data mining based GS, RB, and NCB Ongoing
on this CMF to exam large pre-existing databases in order
to generate new information for future disasters.
33. It is recommended that INTERPOL maintains a global GS, RB, and NCB Done
information platform on transnational disasters and a web-
based register of their occurrences based on this CMF and
taking into account the information security principles of
integrity, availability, authenticity, and non-repudiation.
34. It is recommended that INTERPOL engages with its multi- GS, RB, NCB, and Done
agency networks taking in account the concepts that External Stakeholders
emerged in this CMF in order to ensure an effective logistics
for its actives, resources, and services.
35. It is recommended that INTERPOL evaluates existing GS, RB, NCB, and Done
human capital for transnational disasters based on this CMF External Stakeholders
and develops capacity-building plans for meeting ongoing
and future requirements.
36. It is recommended that INTERPOL mobilises sufficient GS, RB, NCB, and Ongoing
resources for the development and the implementation of External Stakeholders
disaster management, including staff, tools & technology,
and infrastructure components on the basis of clearly
prioritized actions demonstrated in this CMF.
37. It is recommended that INTERPOL integrates the data GS, RB, NCB, and Ongoing
accumulated of transnational disasters from a range of External Stakeholders
sources in databases based on this CMF in order to guide
management decisions.
38. It is recommended that INTERPOL strengthens networks GS, RB, NCB, and Ongoing
among managers and disaster experts across sectors and External Stakeholders
among regions based on the themes developed in the CMF.
39. It is recommended that INTERPOL member countries NCB Ongoing
review their national capacity and capability to respond to
transnational disasters in line with this CMF to ensure that
they are resilient.
40. It is recommended that INTERPOL encourages GS, RB, NCB, and Done
partnerships presented in this CMF among key stakeholders External Stakeholders
in all levels, including international, national, regional, and
local actors as well as public, private and non-governmental
sectors.
41. It is recommended that INTERPOL creates a specific GS, RB, NCB, and Ongoing
emergency fund for transnational disaster (as mentioned in External Stakeholders
the interviews and focus groups during the construction of
this CMF) in order to support response, recovery,
mitigation, and preparedness measures.

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 Implementation
No Recommendation Status
(Actors and Sectors)
42. It is recommended that INTERPOL uses this CMF as base GS, RB, NCB, and Done
to reduce or minimise barriers and increases or maximises External Stakeholders
facilitators regarding to transnational disasters.

5.4 CMF information system (CRIMAFIS)

5.4.1 Overview

The recommendations shown in Table 5.1 embrace the creation of information systems
and/or databases9 involving the key categories, concepts, and relationships depicted in
CMF. One of the major advantages of CMF when compared with other frameworks is
that it has a dynamic structure through a relational approach in order to make sense upon
the relationships among categories/themes and concepts/codes (see Section 4.3). This
relational approach in CMF linking concepts and categories provides several benefits
(Nogueira, 2015c). First, it permits the organisation of data (codes, themes, and
relationships) into a number of relational tables facilitating the creation of forms,
checklists, information systems, and databases. Second, it offers quick search for data
such as disaster by date, type, place, resources and services mobilised, agencies
participants, finance instruments, and so on since the relationships can connect all type of
data into a powerful system. Third, it provides easy traceability of the data stored. Fourth,
it permits different managers and decision-makers have the common understanding on
the data. Finally, it facilitates the handling of the storage, retrieval, and updating of data
by different internal units at INTERPOL.

Therefore, this section presents CRIMAFIS – CRIsis MAnagement Framework

Information System. It is a business intelligence system for crisis management involving
transnational disasters. It uses CMF as paradigm and was planned and developed by this
researcher throughout this thesis. CRIMAFIS will help police officers, managers, and
support personnel at INTERPOL as well as scholars and researchers to better understand
and manage transnational disasters using a computational tool developed with Artificial
Intelligence (AI) techniques.

9
Database is an organized collection of data in a computational tool to model aspects of reality in a way
that that allows easy insertion, deletion, retrieval, updating, analysis, and output of data.

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5.4.2 Data management model

Disasters that result in transnational inquiries have generated a considerable amount of

information that need to be analysed by scholars and practitioners with theoretical rigour
and practical relevance. As argued by Elliott (2009) the processes around information
management and knowledge transfer have received limited attention within the academic
literature and even less within public inquiries, which appear to make specific
recommendations without fully comprehending how these should be implemented. In
addition, some recommendations engage practical implementation, for example creating
databases that evolve for information systems. Therefore, the intention of this section is
to present a theoretical-practical data management model created by this researcher in
order to manage the data stored in databases and accomplish the recommendations 1, 3,
6, 10, 22, 23, 24, 25, 29, 32, 33, and 37, as presented in Table 5.1.

Before the creation of an information system to CMF, it is necessary to design a data

management model. The data management model proposed for CMF consists of concepts
(i.e. columns/attributes), categories (i.e. rows/tuples), and their relationships, as shown in
Figure 5.2. This kind of database model comprised of rows and columns creating a table
with categories, concepts, and their relationships are called as relational databases
(Silberschatz et al, 2010; Nogueira, 2015c).

(I) Relational schema:

A1, A2, …, An are attributes representing concepts, where each An, 1≤ n ≤ 23 (total of
concepts in this study).

Ri = <A1, A2, …, An> is a relational schema representing a category, where each Ri,
1≤ i ≤ 8 (total of categories in this study).

Therefore, CRIMAFIS has eight relational schemas representing each one of the eight
CMF categories with its own set of concepts, as following:

R1 = GOVERNANCE = <Structure, Policy, Role & Responsibility, Norm & Legislation>

R2 = SERVICE = <Mitigation Service, Preparedness Service, Response Service,

Recovery Service>

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R3 = RESOURCE = <Staff, Tools & Technology, Infrastructure>

R4 = MULTI-AGENCY NETWORK = <Social Capital, Human Capital>

R5 = STAKEHOLDER = <Actor, Sector>

R6 = FINANCE = <Contribution, Income>

R7 = BARRIER = <Strategic Barrier, Tactical Barrier, Operational Barrier>

R8 = FACILITATOR = <Strategic Facilitator, Tactical Facilitator, Operational

Facilitator>

(II) Instances

I1, I2, …, Iv are instances representing the current values of each concept, where v ∈ ℕ.

For example,

I1 = disaster unit at general secretariat

I2 = international standards

Iv = systems & databases

(III) A table T (also called as file, class) specifies the set instances of relational schemas.

Therefore,

T = { R1= <A1(Iv), A2(Iv), …, An(Iv)>,

R2 = <A1(Iv), A2(Iv), …, An(Iv)>,

Ri = <A1(Iv), A2(Iv), …, An(Iv)> }

149
For example,

T= {GOVERNANCE = <Structure (disaster unit at general secretariat), Policy

(cooperation), Role & Responsibility (information sharing, international
standards), Norm & Legislation (rule for data processing #12/2015, dvi guide)>,

SERVICE = <Mitigation Service (relocation of staff and offices), Preparedness

Service (early public information, training & capacity building), Response Service
(DVI service), Recovery Service (reconstruction, assessments)>,

RESOURCE = <Staff (expert police officers), Tools & Technology (systems &
databases, computer networks, communication), infrastructure (consumables,
specialised devices)>,

MULTI-AGENCY NETWORK = <Social Capital (contracts, informal relations),

Human Capital (knowledge, skill, experience)>,

STAKEHOLDER =<Actor (international agencies), Sector (non-governmental)>,

FINANCE = <Contribution (statutory contribution), Income (consortiums)>,

BARRIER = <Strategic Barrier (rigidity, non-alignment, lack of coordination),

Tactical Barrier (system integration, complex logistics), Operational
Barrier(number of victims, level of engagement, high staff turnover)>,

FACILITATOR = <Strategic Facilitator (social appeal), Tactical Facilitator

(displacement of resources), Operational Facilitator (collective working)> }

(I) A database is a set of tables

{T1, T2, …, Tj}, where j ∈ ℕ*.

The definitions presented in this section involving databases and its components are
conform with categories (themes) and concepts (codes) depicted in Section 3.3.4 (Data
Analysis) and Section 4.2 (Static CMF) as well as classes, instances, relationships, and
cardinalities in Section 4.3 (Dynamic CMF).

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 CRIMAFIS
Governance Multi-Agency
Network

Resource Finance

Service Barrier
Relational
Database
Stakeholder Facilitator

Tables/Files
Figure 5.2 – Data modeling for CMF and its databases

As argued by Nogueira (2015c), after the data modeling, as shown in Figure 5.2, the next
step is implementing a relational database comprised of all CMF categories, concepts,
and theirs relationships. Figure 5.3 presents this relational database implemented using a
computational tool based on Artificial Intelligence (AI), so called Protégé10. Details and
the rationale about the use of AI and Protégé in this thesis can be seen in the next section.

Figure 5.3 – The relational database schema implemented for CMF

10
Protégé is a free, open-source computational tool that uses the AI ontology approach for building
intelligent systems (Protégé, 2015). It was developed by Stanford University.

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5.4.3 Intelligent information system

In his seminal work, Turner contends that relevant information becomes a scarce resource
and the cost of obtaining one piece of information has been high (Turner, 1976). This
section presents CRIMAFIS, a business intelligence system based on Artificial
Intelligence (AI) techniques that provides relevant information upon transnational
disasters under aegis of INTERPOL and uses the CMF structures (static and dynamic)
and its databases. CRIMAFIS will help INTERPOL decision makers in all levels. The
intention is to automatize the data management model presented in Figure 5.2 using
Protégé and create a business intelligence system in order to retrieval relevant information
and accomplish some recommendations presented in Table 5.1. The AI approach was
chosen because it is a domain of the human knowledge that uses computer systems to
perform tasks that normally require human intelligence (Russell and Norvig, 2009). AI
systems can be classified in three main areas: symbolist, connectionist, and evolutionist.
The symbolist approach involves manipulation of symbols such as concepts, categories,
hierarchies, relations, and logic axioms. The main AI symbolist systems are represented
by ontologies, expert systems, and artificial agents (Russell and Norvig, 2009).

This study used Protégé – an ontology-based tool – to explore the part of the human
intelligence that can be reduced to symbol manipulation and to create the CRIMAFIS. In
AI, ontology is a specification of a conceptualization describing concepts, categories,
characteristics, relationships, and rules that can exist for a knowledge domain (Gruber,
1995; Nogueira and Vasconcelos, 2008). It is easy to understand why ontology is the most
suitable and feasible AI technique to apply in qualitative researches because it handles
symbolic systems engaging themes, codes, and relationships. For instance, the use of
ontology demonstrated to be an effective and efficient tool to depict the CMF's static and
dynamic structures as shown in Figures 5.4-5.5.

Therefore, CRIMAFIS is a business intelligent system created to put into practice the data
modeling schema presented in Figure 5.2. It was designed using Protégé in order to
automatize the static CMF with its categories/themes and concepts/codes, studied
phenomena/scope, and context/application domain (depicted in Section 4.2) as well as to
automatize the dynamic CMF with its instances, classes, class diagrams, relationships
between categories and concepts (depicted in Section 4.3). A visual representation of the

152
ontology for CRIMAFIS is shown in Figure 5.4. It is relevant to highlight that Figure 5.4
presents the ontology implemented in CRIMAFIS using a computational tool called
Protégé. It is important to clarify that the arrows in Figure 5.4 are part of the Protégé
language and embedded as visual devices. These arrows are generated to show that there
are relationships between classes (i.e. concepts/codes, themes/categories), but they not
describe the type of relationship such as generalisations and aggregations mentioned in
Dynamic CMF using UML. Therefore, the dynamic CMF with its generalisations,
aggregations and other relationships are implemented as internal data structure in Protégé
and does not appears in Figure 5.4.

Figure 5.4 – The ontology implemented in CRIMAFIS

CRIMAFIS demonstrates a practical operationalization of the CMF theory studied in
Chapter 4. It can manage any kind of transnational disaster under aegis of INTERPOL,
including case 1 (tsunami) and case 2 (air crash) presented in this thesis. INTERPOL
members in the Disaster Unit have populated the CRIMAFIS’s databases. Figure 5.5 is a
screen shot of the CRIMAFIS applied for transnational disasters under the auspice of
INTERPOL. Beyond the aforementioned application of CRIMAFIS, it is relevant to
highlight that it can automatically answer research questions proposed in Section 1.4. In
practise, CRIMAFIS is a business intelligence system that accomplish the
recommendations 1, 2, 3, 6, 10, 16, 22, 23, 24, 25, 29, 32, 33, 36, and 37 using relational
databases and automatically answering five research questions:

 What are the governance mechanisms adopted by INTERPOL to manage

transnational disasters?

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 What resources and services does INTERPOL mobilise in transnational disasters?

 Who are the key stakeholders in cases of transnational disasters?

 What are the finances and funding arrangements used by INTERPOL in cases of
transnational disasters?

 What are the barriers and facilitators to manage transnational disasters under the
auspices of INTERPOL?

Context and
Scope

Classes
(Categories)
Relationships

Figure 5.5–The use of CRIMAFIS for INTERPOL to manage transnational disasters

5.5. Impact of CMF

Elliott (2009) posits that a central problem in crisis management is that researches identify
lessons to be learned, make recommendations and prepare plans and regulators regulate,
but often to little avail or impact. This viewpoint makes sense. If an organisation like
INTERPOL is confronted with several occurrences of similar types of crisis, notably
disasters, scholars and practitioners expect that INTERPOL may develop a
comprehensive crisis management framework and thereafter evaluate its results and
impacts. Hence, this thesis, particularly the CMF framework, intends to provide concrete
results and guidelines for reducing the negative impacts of transnational disasters at
INTERPOL and its 190 member countries over the next years. If implemented according
to the recommendations (see Section 5.3 and Table 5.1), it may reduce the economic,
cultural, social, and organisational effects of transnational disasters under aegis of

154
INTERPOL. Thus, this research feeds into several levels of individual, departmental, and
organisational actions/changes as following.

5.6.1 Individual impact

Individually this doctoral research, noticeably CMF, has helped police officers and
support personnel at INTERPOL to handle several factors before, during, and after a
transnational disaster. The first set of impacts, those dealing with issues around the
individual, can be classified as a set of psychosocial concerns. INTERPOL staff did not
have any framework to follow; as consequence, this generated anxiety, stress, losses in
human potential, and demotivation. Therefore, CMF arose as a manner to mitigate those
undesirable psychosocial problems since now the INTERPOL members in the Disaster
Unit have a framework to follow, and it emerged from interviews and focus groups
involving experienced disaster specialists that routinely work in crisis situations. The
second individual impact is that this study has positively influenced senior managers and
decision-makers providing them with new knowledge and business intelligence analysis
encompassing the governance mechanisms. For example, the managerial aspect of CMF
has helped managers and decision-makers to identify and critically reflect on core issues
related to roles and responsibilities, policies, organisational structures, norms and
legislations engaged in different types of transnational disasters involving multi-agency
networks where INTERPOL takes part. A third, and related individual impact, is that
although INTERPOL staff be much specialised, CMF has revealed that social capital and
human capital have been vital factors to take into account by disaster managers,
coordinators, and supervisors in any kind of man-made or natural disaster, mainly when
working in multi-agency network settings. The fourth individual impact is that CMF has
represented an opportunity to develop effective ways of interpreting and acting upon the
transnational disasters that managers, police officers and support people at INTERPOL
have to deal with. Furthermore, CRIMAFIS, as a business intelligence system, has offered
an optimised tool for analysis upon transnational disasters because it has used the
databases based on the thematic areas obtained in data collection and analysis phases. For
example, CRIMAFIS has provided data and information for IRTs (Incident Response
Teams) about staff, tools and technology, infrastructure, response services, and financial
instruments available for a specific time, place, and type of disaster. This has facilitated
the INTERPOL assistance in the site of disaster.

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5.6.2 Departmental impact

The second set of impacts operates at the departmental level. CMF generated a new
paradigm in the Disaster Unit at INTERPOL because it has been used in all disaster
management phases based on a range of factors. For example, CMF identified the key
factors (themes and codes) for INTERPOL to manage any kind of transnational disaster:
governance, service, resource, multi-agency network, stakeholder, finance, barrier, and
facilitator. These key factors have helped to better understand the investigated cases (case
1 - tsunami in the Indian Ocean in 2004 and case 2 – air crash of Air France flight 447 in
Brazil in 2009) as well as other subsequent disasters such as the earthquake in Haiti/2010;
the ferry disaster in Tanzania/2012; the typhoon Haiyan, in Philippines/2013; the terrorist
attack, in Kenya/2013; the air crash of Malaysia Airlines (MH17) in Ukraine/2014. Thus,
the key factors revealed in the CMF have helped to formulate strategic and operational
plans to the next years in the Disaster Unit at INTERPOL. For example, the strategic
plans for the next 5 years (2015-2020) of the Police Forensic Directorate, Operational
Directorate, and Command & Coordination Centre at INTERPOL used the themes
developed in the CMF (governance, service, resource, multi-agency network,
stakeholder, finance, barrier, and facilitator) as key indicators. In turn, the Disaster Unit
taken into account these same themes in its annual operational plan, including the use of
these themes in the field of disaster since they are part of the CRIMAFIS system. Thus,
CMF and CRIMAFIS with its databases were considered as practical evidences of the
departmental change at INTERPOL.

In addition, CRIMAFIS, as mentioned in Section 5.4, is an innovative business

intelligence system comprised of several databases. Thus, it has been used by several
units/department at INTERPOL (e.g. Disaster Unit, Police Forensic Directorate,
Operational Directorate, and Command & Coordination Centre) in all disaster
management phases. First, in the preparedness phase of disaster, CRIMAFIS has been
used for preparation, equipping, and planning by Disaster Unit, Police Forensic
Directorate, and Operational Directorate. For example, nowadays, the management of
resources (i.e. staff, tools and technology, infrastructure) has been carried out using the
CRIMAFIS databases in an integrated and automatized way. Before the CRIMAFIS
system, MS-Excel worksheets were used to the prospection of resources without any kind
of integration. That is, each specialised department or unit engaged in a disaster had its
own worksheets generating results without accuracy or credibility. Moreover, the use of

156
CRIMAFIS in the preparedness phase has also impacted on how the Disaster Unit, Police
Forensic Directorate, and Operational Directorate at INTERPOL register relevant disaster
information. For example, information about the main stakeholders (e.g. international,
regional, national, local), early public information to community (e.g. leaflets, brochures,
guidelines, handbooks), contacts of disaster specialists and their skills, information about
supplies and suppliers. In turn, a vast amount of official documents need to be checked
in the preparedness phase. So, for example, CRIMAFIS system has been used to organise
and generate checklists with resources, services, norms and legislations, multilateral
agreements, memorandums of understanding (MoU), roles and responsibilities of each
agency, and sources of funding.

Second, the key factors of CMF and CRIMAFIS system in the response phase have
influenced on how the Disaster Unit, Police Forensic Directorate, and Command &
Coordination Centre at INTERPOL handle with core response activities. The key factors
presented in the CMF have been used as categories of information for CRIMAFIS
databases in order to develop emergency plans: emergency medical services, first aid
experts and voluntarism, life-line supply services, emergency infrastructure services, and
forensic services. For example, CRIMAFIS system has been used to provide data and
information about the emergency medical services (trauma and acute medical care, basic
health care, medical transport to patients, rapid deployment hospital, base camp); the first
aid experts and voluntarism (first responders, paramedics, nurses, physicians,
psychosocial specialists, volunteers); the life-line supply services (water, food, sanitation,
clothes, blankets, heaters, tarps, mosquito nets); the emergency infrastructure services
(logistics, shelter and settlement, field communications equipment, vehicles, IT and
communication services); forensic services (Incident Response Team – IRT, Disaster
Victim Identification – DVI, missing persons identification, unidentified bodies
identification and linking, , DVI deployment on field, morgue service). Moreover,
CRIMAFIS system has been used in the response phase to reduce the time of assistance
since it has provided immediate data and information in the field. This has been possible
because CRIMAFIS has its database populated with realistic and updated data. For
example, since May/2015, each IRT goes to the site of disaster with a version of
CRIMAFIS system containing data about resources, services, multiagency networks,
stakeholders, and other relevant factors revealed in CMF.

157
Third, in the recovery phase, CRIMAFIS system and its databases have influenced how
the Disaster Unit, Police Forensic Directorate, and Operational Directorate at INTERPOL
support essential activities in the field. For example, CRIMAFIS system has been used to
manage information about the recovery plans, projects, and programmes; reconstruction,
restoration and rehabilitation of essential infrastructure (logistical networks, supply
chains, tools and technologies; debris clearance, hospital, bridges, roads); resources and
services (sanitation and hygiene recovery services, risk analysis, damage assessment,
impact assessment, financial assistance to recovery); resilience (sustainable livelihood;
safeguard). Furthermore, CRIMAFIS system has been used in the recovery phase to
provide information about the psychosocial support and religious care. Fourthly, in the
mitigation phase, CRIMAFIS system with its databases has provided valuable
information to the Disaster Unit, Police Forensic Directorate, and Operational Directorate
at INTERPOL by different means. For example, CRIMAFIS has helped to provide
information about the mitigation plans; strategic governance plans; mitigation teams;
disaster risk reduction; vulnerability assessment; structural mitigation measures
(relocation of INTERPOL staff and offices); non-structural mitigation measures (laws,
norms, regulations, policies, protocols, standard operational procedures). However, it is
important to clarify that CMF and CRIMAFIS cannot change the financial approach to
create new investments or funds to transnational disasters because this aspect depends on
the political and economic variables influenced by both external stakeholders
(international, regional, national, and provincial actors) and internal stakeholders
(INTERPOL and its member countries).

5.6.3 Organisational impact

This doctoral study, particularly CMF and CRIMAFIS system, has produced positive and
constructive organisational impacts at INTERPOL. First, the lack of a crisis management
framework had hampered the management of crises and disasters at INTERPOL
throughout years (see details in Section 1.2). This fact had negatively influenced on how
INTERPOL works in the preparedness, response, recovery, and mitigation phases of
disaster management, mainly when it operates in multi-agency networks during
transnational disasters. For example, before CMF and CRIMAFIS system, one of the
major problems was that INTERPOL managed each disaster as if it was a completely new
disaster. However, the data analysis presented in this research demonstrated that there
were common building patterns (8 categories/themes and 23 concepts/codes, presented in

158
Chapter 4) to manage transnational disasters under the auspices of INTERPOL even in
different types of disasters. Therefore, CMF and CRIMAFIS system produced an
organisational change at INTERPOL because, for example, the key factors identified in
CMF (governance, resource, service, stakeholder, multi-agency network, finance, barrier,
facilitator) and the relational databases within the CRIMAFIS system transformed the
manner how specialised police officers and support personnel at INTERPOL manage the
data and information concerning to crises and disasters. This change is not only in a
particular unit at INTERPOL, but in the organisation as a whole because the data and
information in CRIMAFIS system can be created, used, and organised anywhere in real-
time by any INTERPOL unit.

Second, the implementation of CMF with its key factors (categories, concepts, and their
relationships) and CRIMAFIS system with its databases enhanced the business process
management at INTERPOL. For example, the incident response processes at INTERPOL
were improved due to the better understanding of the roles and responsibilities stored in
CRIMAFIS databases. Being more specific, the governance database in CRIMAFIS has
all roles and responsibilities of the incident response teams (IRTs) when working
transnationally in cooperation with other agencies. Thus, the IRTs have used the
CRIMAFIS system with its databases to verify their roles and responsibilities as well as
the identification of the goals, objectives, and expected outcomes during their missions
in the field of disaster. Other example of the organisational improvement provided by
CMF was the recognition of norm and legislation as a core concept. Thereafter, this
concept was converted in a table within the governance database. Being clearer, the rules,
regulations, protocols, and legislation for each kind of disaster were stored in files as part
of the governance database in CRIMAFIS system. In the same vein, for example the
available resources (staff, tools & technology, infrastructure) and services (emergency
service, DVI service, disaster management service) mobilised as response to each kind of
disaster were within the resource database and service database respectively. Thus, any
information about the available resources and services in a specific period was stored in
databases as part of the CRIMAFIS system. Thus, these aforementioned organisational
improvements were possible because CMF disclosed the key factors to manage disasters
to the decision makers at INTERPOL and CRIMAFIS possessed the data related to these
key factors and additional relevant information stored in its databases.

159
Third, CMF also revealed that the theme stakeholder was a key factor to be managed by
senior managers during transnational disasters. For example, the studied cases in this
doctoral research shown that INTERPOL has always worked with key international,
regional, and national stakeholders in order to provide efficient mechanisms during
transnational disasters. This fact has provoked some changes of attitudes by senior
managers and disaster leaders at INTERPOL since they recognised the relevance of the
stakeholders as part of the organisational management process at INTERPOL. Thus,
senior managers and leaders changed their attitudes promoting the realization of meetings
with the main stakeholders (internal and external) in order to determine what stakeholders
needs were. After these meetings, the CRIMAFIS databases were populated with the
outcomes. Another example of the organisational impact of CMF and CRIMAFIS system
was the fact that INTERPOL held the first workshop to discuss with key stakeholders
upon the CMF and CRIMAFIS system deployment. This was a two-day event for 20
participants at INTERPOL headquarter in Lyon/France, in June/2015.

Fourth, CMF and CRIMAFIS system has changed the organisational planning at
INTERPOL. For example, the key factors identified in CMF and the CRIMAFIS
databases have efficiently impacted on how INTERPOL must create and manage its
organisational plans in cases of crises and disasters. Being clearer, the governance plans
developed in the Police Forensic Directorate and Operational Directorate at INTERPOL
have taken into account the concepts (structures, roles and responsibilities, policies,
norms and legislation) evidenced in CMF and automatized in CRIMAFIS system. In turn,
IT plans in the IT coordination at INTERPOL have clustered its key concepts within its
operational plans in four categories databases (tools, technologies, systems, and
databases), as evidenced in the CMF and populated in CRIMAFIS. Other relevant
example was the fact that the mobilisation plans prepared by Disaster Unit during the
response and recovery phases has used both resource database and the service database
created as part of the CRIMAFIS system.

Fifth, another point of organisational impact caused by this doctoral study was the
revelation of the main barriers and facilitators for INTERPOL to manage transnational
disasters. After the data analysis (see Section 4.2), barriers and facilitators were identified
as key factors (themes and codes) in CMF. These factors received special attention
because they were crucial for INTERPOL to identify the main barriers to, and facilitators
of effective multi-agency working within the context of transnational disasters. For

160
example, the CMF revealed that there were barriers to fully integrate different agencies,
especially in terms of civilian–military cooperation; to recognise the roles and
responsibilities of each agency; to overcome the rigidity in institutional beliefs; to comply
with norms and regulations; to accomplish international protocols; to maintain specialised
personnel due to the high staff turnover; to create integrated systems and databases. On
the other hand, CMF revealed several facilitators in order to have an effective multi-
agency working within the context of transnational disasters under auspices INTERPOL.
For example, CMF shown as facilitators the partnership agreements, social appeal
provoked by transnational disasters, collective working in multi-agency networks,
collaborative operation emphasising the qualities of each agency, real-time
communication using mobile technology. In addition, it is also important to highlight that
these barriers and facilitators were used to populate the databases called barrier and
facilitator within the CRIMAFIS system as presented in Section 5.4. For example, in a
practical way, some barriers evidenced in CMF were categorised as strategic barriers in
CRIMAFIS system (rigidity in institutional beliefs, non-alignment between
organisational priorities, lack of shared responsibility between agencies, different
interests between agencies, failure to fully integrate civilian and military forces). In the
same token, some examples of barriers were categorised as tactical barriers in CRIMAFIS
system (lack of common assessment, lack of knowledge on the roles and core values of
other agencies, failure to integrate existing systems and databases, lack of integrated
systems). At last, other examples of barriers evidenced in CMF were categorised as
operational barriers in CRIMAFIS system (use of ad hoc teams, high staff turnover, lack
of knowledge on the responsibilities and competencies of each agency and its actors,
difficult to comply with norms and regulations). In turn, some examples facilitators
evidenced in CMF were categorised as strategic facilitators in CRIMAFIS system
(creation of a crisis and disaster management framework to facilitate transnational
cooperation, construction of a strong multi-agency network, based on trust and fidelity,
encouragement of collective and collaborative mechanisms of command and control,
sharing of responsibilities between agencies). Other examples of facilitators were
categorised as tactical facilitators in CRIMAFIS system (disclosure of key norms and
regulations, dissemination of roles and core values of each agency, collaboration on
capacity-building and training, shared mobilisation and logistics of resources and
services, sharing of information, creation of new integrated systems of data, information,
and knowledge). At last, other examples of facilitators evidenced in CMF were

161
categorised as operational facilitators in CRIMAFIS system (avoid ad hoc incident
response teams, avoid high staff turnover, operation under multilateral agreements, hear
the stakeholders’ complaints). Therefore, the decision makers at INTERPOL has used
CMF and CRIMAFIS system in order to Identify the main barriers to, and facilitators of
effective multi-agency working within the context of transnational disasters.

Sixth, CMF and CRIMAFIS system have consolidated the reputation of INTERPOL as
one of the leader organisations in crisis and disaster management. For example, this
author reinforced this reputation of INTERPOL during the presentation of CMF and
CRIMAFIS system to working groups, conferences, congress, and meetings around the
world involving different scholars (professors, graduate students), practitioners (leaders,
senior managers, coordinators, supervisor, specialists, police officers), and other
organisations engaged in crisis and disaster management (e.g. UN, IFRC, IMO, ICC,
EUROPOL, AMERIPOL, ENSP, NAUSS). In addition, this reputation was
independently evidenced through the appreciation letter produced at the end of the first
event to discuss upon the CMF and CRIMAFIS system with key stakeholders. This letter
was written by the external participants (e.g. UN, IFRC, IMO, ICC, AMERIPOL, and
ENSP representatives) and presented to the event chair as result of the two-day event at
INTERPOL headquarters in Lyon/France, in June/2015.

However, in the viewpoint of this researcher, CMF and CRIMAFIS system still have
some challenges since the success of their implementations within the INTERPOL
organisation is dependent upon senior managers' ability and perseverance to manage
organisational change, whilst also creating value for their stakeholders.

5.7 Conclusion

This chapter addressed the findings and discussions. It started by discussing the priorities
for action on how to implement and put them in practice. It suggested forty-two
recommendations for an effective and efficient crisis management at INTERPOL. This
chapter also shown the CMF Information System (CRIMAFIS), a business intelligence
system with its various databases (i.e. one for each theme/category proposed in this thesis)
developed by this researcher. CMF has already helped police officers, managers, and
support personnel at INTERPOL as well as scholars and researchers to better understand

162
and manage transnational disasters using the CRIMAFIS tool developed with Artificial
Intelligence (AI) techniques. This chapter answered all research questions – central and
complementary – proposed in Chapter 1 and re-emphasised in Chapter 3. At last, it
disclosed the impacts of CMF at INTERPOL in different levels: individual, departmental,
and organisational.

The following chapter will provide the conclusions on this doctoral research, noticeably
related to the challenges faced, contributions, and peer reviewed articles published from
this thesis, research limitations, and future researches.

163
Chapter 6
Conclusion
INTERPOL faces many challenges in managing transnational disasters and in creating a
crisis management framework that all member countries want and deserve. This research
has attempted to provide a crisis management framework for INTERPOL to manage
transnational disasters. Therefore, important theoretical-practical contributions and
outcomes have emerged from this doctoral study in order to provide concrete guidelines
for reducing the effects of transnational disasters over the next years.

This thesis offered a better understand and critically reflect on the key terms related to
transnational disasters and their applications within the INTERPOL environment, such as
crisis, disaster, transnational disaster, crisis management, disaster management, multi-
agency network, and transnational cooperation. In addition, this research gave special
attention to identify key barriers and facilitators involving crisis management in the
transnational disaster context. As a result, this thesis proposed two classifications for both
barriers and facilitators through which transnational disasters should be managed. Each
classification was clustered by organisational level (i.e. strategic, tactical, and
operational). A set of barriers to build multi-agency networks and a set of facilitators to
develop transnational cooperation, as depicted in Tables 2.1 and 2.2.

In the methodological context, this study was based on applied qualitative research that
used interviews, focus groups, and physical artefacts as multiple sources of data
collection. What was evident from the data, however, was a commitment to the collective
since the research participants were chosen among specialised police officers and support
specialists allocated at INTERPOL headquarter that had worked at least in one of the two
actual case studies (case 1 – tsunami in Thailand, 2004, natural/open disaster; case 2 – air
crash of Air France flight 447 in Brazil, 2009, man-made/closed disaster). The maximum
variation sampling was chosen to select those cases because it is a form of qualitative
approach that consists of determining in advance some criteria that differentiate sites or
participants, and then selecting those that are quite different on the criteria (Creswell,
2013). It was carried out an analysis across cases to figure out similarities and differences
in order to identify behaviour patterns and use them as a common framework for
analogous cases producing generalizability. This researcher created a formal notation to
manage multiple sources of data in multiple cases. This was an important aspect to

164
prepare the data triangulation, facilitate the chain of evidence (data path) within the data
storage protocol, and maintain traceability of the data. The outcomes of these case studies
were presented in tables, schemas, and figures as part of a ‘static’ structure to manage
transnational disasters as well as in class diagrams using the Unified Modeling Language
– UML (ISO/IEC, 2012; Nogueira, 2004) as part of a ‘dynamic’ structure to manage
transnational disasters. The studies of these cases also identified the main barriers to, and
facilitators of effective multi-agency working and transnational cooperation at
INTERPOL. Based on these barriers and facilitators, this thesis proposed forty-two
recommendations (Table 5.1) to reduce barriers and increase facilitators before, during,
and after transnational disasters. It is important to highlight that some of these
recommendations were implemented and others are ongoing. A vital aspect of these
recommendations was to prevent recurrent difficulties of INTERPOL when facing
transnational disasters. If INTERPOL acts according to the recommendations, these
measures will reduce the economic, operational, and social impacts of disasters, including
the number of people killed and affected every year by transnational disasters.

In addition, the purpose of this thesis was not to produce a general theory about disasters,
although one may emerge incidentally, but to create and use a crisis management
framework (called CMF) as a comprehensive framework for the understanding and
management of transnational disasters under the aegis of INTERPOL. CMF was
grounded in both static and dynamic structures that emerged during the qualitative
research. CMF covers all disaster management phases and addresses all 8
categories/themes and 23 concepts/codes identified as relevant to INTERPOL throughout
the process of data analysis. CMF presented other innovative characteristics, such as the
presentation of dynamic structure (i.e. relationships between concepts and categories,
hierarchical structure between classes of concepts and categories, cardinalities, and
instances), facilitators and barriers to work in the international multi-agency scenario,
visual representation of themes, codes and their relationships, and sufficient
representativeness to create databases and information systems in an objective way, as
argued by Nogueira (2015c).

The impact of CMF upon practice was other important factor in terms of INTERPOL
deployment in the field of crisis and disaster management; for example, the results of
CMF has helped INTERPOL senior managers to organise the mobilisation of resources
and services before, during, and after a disaster. Moreover, CMF has been used to answer

165
the applied research questions in a practical manner as well as to support INTERPOL and
its 190 member countries during the management of all phases of transnational disasters.
The study of CMF and its impacts has revealed that it affects all levels of INTERPOL:
individual, departmental and organisational. Consequently, CMF has demonstrated to be
an original crisis management framework to legitimate INTERPOL’s activity before,
during, and after transnational disasters. In other words, this legitimation refers to the
process whereby the use of CMF through 42 recommendations presented in Table 5.1
becomes acceptable and legitimate by its attachment to norms, rules, and values within
INTERPOL.

In order to ratify the practical use of CMF, this thesis also created an innovative
information system called CRIMAFIS. It is a business intelligence system based on
Artificial Intelligence (AI) techniques that provides relevant information upon
transnational disasters under the auspice of INTERPOL and uses the CMF structures
(static and dynamic) and the eight thematic dimensions of CMF (i.e. governance, service,
resource, multi-agency network, stakeholder, finance, barrier, and facilitator) as
databases. CRIMAFIS has already helped INTERPOL decision makers in all levels when
managing with transnational disasters. Therefore, the practical studies in the field has
demonstrated that CMF and CRIMAFIS has potential to be catalysts for constructive
organisational change and enhanced organisational effectiveness enabling managers,
policy makers, and INTERPOL community to be better prepared for preventing and
dealing with crisis involving transnational disasters.

Another major contribution obtained in this thesis was the publication of five peer-
reviewed articles (Nogueira, 2015a; Nogueira, 2015b; Nogueira, 2015c, Nogueira 2015d,
Nogueira, 2016) to help INTERPOL members, managers, leaders, policy makers, and
scientists in the crisis and disaster community to establish a better understanding and a
realistic discussion that advances the frontiers of transnational disaster management.

A limitation of this study includes the sole focus of the sample being from INTERPOL,
i.e. the absence of data from participants from other international agencies. Future studies
might examine opinions of other stakeholders in order to create a detailed framework that
might have broader application in different international organisations.

166
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Appendix A – Access and permissions

PARTICIPANT CONSENT FORM

Title of Research: A crisis management framework for INTERPOL to manage

transnational disasters

Researcher: Jose Helano Matos Nogueira

1. I confirm that I have read and have understood the information sheet for the
above study. I have had the opportunity to consider the information, ask
questions and have had these answered satisfactorily.

2. I understand that my participation is voluntary and that I am free to withdraw

at any time without giving any reason, without my rights being affected. In
addition, should I not wish to answer any particular question or questions, I am
free to decline.

3. I understand that, under the Data Protection Act, I can at any time ask for access
to the information I provide and I can also request the destruction of that
information if I wish.

4. I agree to take part in the above study.

___________________________
Participant Name

___________________________
Researcher and Interviewer
Jose Helano Matos Nogueira

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Appendix B – Interview form

INTERVIEW FORM

Title of research: A crisis management framework for INTERPOL to manage transnational

disasters.

Case name: __________________________________________________

Date: ____/____/____

Time: _____:______

Place of interview: ___________________

Interviewer: _________________________________________________

Interviewee: _________________________________________________

Position of interviewee: ________________________________________

Role of interviewee in the case: __________________________________

Research questions:

1. What are the governance mechanisms adopted by INTERPOL to manage transnational

disasters?
2. What resources and services did INTERPOL mobilise in this transnational disaster?

3. Who were the key stakeholders in this case?

4. What were the finances and funding arrangements used by INTERPOL in this case you have
participated?

5. How did INTERPOL create formal/explicit and informal/tacit relationships within this crisis
and disaster management?

6. What were the barriers and facilitators to manage transnational disasters under umbrella of
INTERPOL?

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Appendix C – Examples of transcripts and field notes
Reference Examples of transcripts and field notes 11
Case 1 Research question:
Interviewee 1 1. What are the governance mechanisms adopted by INTERPOL to manage
transnational disasters?
Answer:
“One of the main roles of INTERPOL is assisting member countries in issues related
to transnational disasters.”
Case 1 Research question:
Focus Group 1 1. What are the governance mechanisms adopted by INTERPOL to manage
transnational disasters?
Answer:
“Beyond cooperation, our organisation is responsible to provide public safety
through information exchange of victims, families and people.”
Case 1 Research question:
Interviewee 4 2. What resources and services did INTERPOL mobilise in this transnational
disaster?
Answer:
“…the organisation usually prepares several types of early public information to our
member countries. For example, leaflets, guidelines, handbooks, and educational
videos.”
Case 1 Research question:
Focus Group 2 2. What resources and services did INTERPOL mobilise in this transnational
disaster?
Answer:
“We deploy emergency infrastructure services, such as logistics, field
communications equipment, IT and communication, information systems and
databases for our NCB in Thailand.”
Case 1 Research question:
Interviewee 10 3. Who were the key stakeholders in this case?
Answer:
“I believe… we can’t forget victims and their families as key stakeholders in this
transnational disaster.”
Case 1 Research question:
Focus Group 1 3. Who were the key stakeholders in this case?
Answer:
“The disaster management was a big challenge requiring the full commitment and
involvement of all sectors concerned, including public, private, and non-
governmental agencies.”
Case 1 Research question:
Interviewee 3 4. What were the finances and funding arrangements used by INTERPOL in this
case you have participated?
Answer:
“Well… I think that member countries’ contributions were essential to the disaster
response activity.”
Case 1 Research question:
Focus Group 2 4. What were the finances and funding arrangements used by INTERPOL in this
case you have participated?
Answer:
“We were passing for severe budget constraints and it was necessary to find out
alternative funding arrangements… look at our incomes in projects, bilateral
agreements, and consortiums.”
Case 1 Research question:
Interviewee 2 5. How did INTERPOL create formal/explicit and informal/tacit relationships within
this crisis and disaster management? Answer:
“Our partners were absolutely crucial in the case of tsunami in Thai.”

11
At least one answer of each interviewee and focus group was selected as example

176
Reference Examples of transcripts and field notes 11
Case 1 Research question:
Interviewee 6 5. How did INTERPOL create formal/explicit and informal/tacit relationships within
this crisis and disaster management?
Answer:
“Knowledge and experience were essential prerequisites to obtain successful multi-
agency cooperation in the case of tsunami.”
Case 1 Research question:
Interviewee 8 6. What were the barriers and facilitators to manage transnational disasters under
umbrella of INTERPOL?
Answer:
“Barrier… I saw that our organisation had difficulties to disseminate procedures,
norms and regulations among participants because they had different levels of
engagement.”
Case 1 Research question:
Focus Group 1 6. What were the barriers and facilitators to manage transnational disasters under
umbrella of INTERPOL?
Answer:
“Other barrier was the lack of knowledge on the roles, responsibilities, and core
values of other agencies.”
Case 2 Research question:
Interviewee 5 1. What are the governance mechanisms adopted by INTERPOL to manage
transnational disasters?
Answer:
“Arrange to meet annually with disaster practitioners at INTERPOL in order to share
information, international standards as well as to disseminate our
recommendations.”
Case 2 Research question:
Focus Group 1 1. What are the governance mechanisms adopted by INTERPOL to manage
transnational disasters?
Answer:
“…day-to-day implementation of the Organization’s decisions related to
transnational disasters was carried out by the organisational norms and technical
documents in consonance with international law.”
Case 2 Research question:
Interviewee 10 2. What resources and services did INTERPOL mobilise in this transnational
disaster?
Answer:
“…capacity building and training, exercises and simulations. Test the IT and
communication services.”
Case 2 Research question:
Focus Group 2 2. What resources and services did INTERPOL mobilise in this transnational
disaster?
Answer:
“We do believe that the Organisation also prepares early specialised information and
makes available in our site at Internet. For instance, contingency plans, fact sheets,
reports, manuals and guides.”
Case 2 Research question:
Interviewee 9 3. Who were the key stakeholders in this case?
Answer:
“This air crash of Air France flight 447 was comprised of different international,
national, and local actors involving civil and military forces.”
Case 2 Research question:
Focus Group 1 3. Who were the key stakeholders in this case?
Answer:
“There are mutual benefits among the involved actors and in different levels:
international, national, and local.”
Case 2 4. What were the finances and funding arrangements used by INTERPOL in this
Interviewee 3 case you have participated?
Answer:

177
Reference Examples of transcripts and field notes 11
“Well… Extraordinary contribution was a key factor.”

Case 2 4. What were the finances and funding arrangements used by INTERPOL in this
Focus Group 2 case you have participated?
Answer:
“DVI activities are also fomented through agreement with some organisations as
well as the FASTID consortium.”
Case 2 Research question:
Interviewee 7 5. How did INTERPOL create formal/explicit and informal/tacit relationships within
this crisis and disaster management?
Answer:
“Police cooperation agreement was an important factor in this air crash case.”
Case 2 Research question:
Focus Group 2 5. How did INTERPOL create formal/explicit and informal/tacit relationships within
this crisis and disaster management?
Answer:
“Formal partnerships take part of the disaster management process and they were
essentials, in all levels: Micro Level (Group), Meso Level (Institutional), Macro
Level (Multi-Agencies).”
Case 2 Research question:
Interviewee 6 6. What were the barriers and facilitators to manage transnational disasters under
umbrella of INTERPOL?
Answer:
“This case faced a barrier due to the different interests from military and civil
organisations.”
Case 2 Research question:
Focus Group 1 6. What were the barriers and facilitators to manage transnational disasters under
umbrella of INTERPOL?
Answer:
“We faced some kind of rigidity in institutional beliefs and legal frameworks, as
difficult barrier to overcome.”

178